Sugar Maple Asset Management, LLC

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Client assets under management

$275,328,078

Clients

202

21% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$1,363,010

About

Sugar Maple Asset Management provides investment management, retirement-plan consulting, financial planning, and related advisory services to individuals (including high-net-worth clients), pension and defined contribution plans, trusts, estates, charitable/non-profit entities, corporations, and pooled vehicles. The firm manages approximately $291 million in client assets and delivers services through its investment adviser representatives who serve as primary client contacts.

The firm generally provides discretionary portfolio management guided by individualized Investment Policy Statements and takes a longer-term orientation for more volatile assets, while using a mix of individual stocks, bonds, mutual funds, ETFs, and other collective investment vehicles. It also offers retirement-plan advice on a non-discretionary basis, periodic participant education, and the option for an actively managed individual-stock sleeve (typically 15–25 holdings); the firm may recommend and monitor third-party sub-advisors when appropriate.

Notably, Sugar Maple acts as the investment adviser to a privately offered pooled vehicle managed by an affiliated managing member, and that fund relationship involves performance-based compensation — a combination that is uncommon among similar supported firms. The brochure also discloses an arrangement in which the firm receives referrals and revenue sharing from a bank, and that the firm’s owners hold an equity interest in that bank; the adviser identifies these relationships as potential conflicts of interest and documents mitigation through disclosure and internal policies.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

Wealth management Retirement plans for business owners (SEP, solo 401k) Private / alternative investments

Fee options

Fixed

Flat fees for financial planning and consulting vary depending on complexity; $4,000 annual relationship management fee (may be waived)

Percentage

$0 - $500,000: 1.00% $500,001 - $1,000,000: 0.80% $1,000,001 - $3,000,000: 0.70% $3,000,001 - $10,000,000: 0.65% Over $10,000,000+: Negotiable

Project-based

$50 to $250 per hour for financial planning and consulting

Performance-based

Performance-based fees charged only to the Private Fund client; 15% to 20% of positive performance above hurdle

Other

Minimum fee: $50 per account base fee plus tiered percentage fees Fee-only: Yes, primarily fee-based advisory services with no commissions

Main office location

Sugar Maple Asset Management, LLC

2580 S Bay Shore Drive, Suite C

Sister Bay WI 54234, United States

Number of offices

Most active in

Texas · Wisconsin

Disclosures

Business activities & affiliations

Is active or affiliated with:

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Website 9205854985

Advisors at this firm

Jeremy S

CFP®, Series 63, Series 65

Sister Bay, WI

Sugar Maple Asset Management, LLC

Jeremy Schwab is a CFP® with 19 years of industry experience, currently serving at Sugar Maple Asset Management, LLC since 2016. He is also President and owner of CAVU Capital Partners, a private fund, where he directs employees and works during trading hours. Prior to his current roles, he has been with CAVU Capital Partners since 2020. Sugar Maple Asset Management is an SEC-registered adviser managing approximately $259 million for about 199 clients, including individuals, retirement plans, trusts, nonprofits, corporations, and private funds. The firm employs a fundamentally driven, longer-term investment approach and offers discretionary management, retirement plan consulting, and financial planning services, also managing the CAVU Private Opportunity Fund.

Wealth management Retirement plans for business owners (SEP, solo 401k) Private / alternative investments

Terrence J

CFA®, Series 63

Sister Bay, WI

Sugar Maple Asset Management, LLC

Terrence Jack is a CFA® charterholder with 10 years of industry experience, currently serving as an advisor at Sugar Maple Asset Management, LLC. He is also the Chief Investment Officer of CAVU Capital Partners, a private fund, and acts as an expert witness in securities trials. Additionally, he holds a part-time role as Wealth Liaison at Fortifi Bank. Sugar Maple Asset Management is an SEC-registered investment adviser managing approximately $259 million for nearly 200 clients, including individuals, retirement plans, trusts, nonprofits, and private funds. The firm employs a fundamentally driven, longer-term investment approach and offers discretionary portfolio management, retirement plan consulting, and financial planning services.

Wealth management Retirement plans for business owners (SEP, solo 401k) Private / alternative investments

Amy Z

Series 66

Sister Bay, WI

Sugar Maple Asset Management, LLC

Amy Zellner is a financial advisor at Sugar Maple Asset Management, LLC with 11 years of industry experience. She holds a Series 66 designation and has worked at several firms including Cetera, Fortifi Bank, and Baylake Bank. Zellner has been with Sugar Maple Asset Management since 2021. Sugar Maple Asset Management is an SEC-registered investment adviser managing approximately $259 million for nearly 200 clients, including individuals, retirement plans, trusts, and nonprofit entities. The firm employs a fundamentally driven, longer-term investment approach using a mix of individual stocks, bonds, mutual funds, ETFs, and active stock sleeves, and also serves as adviser to a private hedge fund.

Wealth management Retirement plans for business owners (SEP, solo 401k) Private / alternative investments

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