Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Endowment Wealth Management, Inc..
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
0913, LLCDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
10% to < 25%
LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUSTDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
10% to < 25%
THE RIEDL FAMILY REVOCABLE TRUSTDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
10% to < 25%
PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUSTDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
10% to < 25%
WENDY STEPHENSON ORTHDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
5% to < 10%
OTHMAR GROUP, LLCDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
5% to < 10%
STEPHENSON FAMILY LIMITED PARTNERSHIP LPDirect owner · Schedule AInterest in ENDOWMENT WEALTH MANAGEMENT, INC.
5% to < 10%
TODD CHARLES THIELIndirect owner · Schedule BInterest in 0913, LLC
75%+
PAUL OTHMAR GEHLIndirect owner · Schedule BInterest in OTHMAR GROUP, LLC
75%+
LARRY LEE RICEIndirect owner · Schedule BInterest in LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST
50% to < 75%
NANCY EILEEN RICEIndirect owner · Schedule BInterest in LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST
50% to < 75%
ROBERT LOUIS RIEDLIndirect owner · Schedule BInterest in THE RIEDL FAMILY REVOCABLE TRUST
50% to < 75%
PRATEEK NMN MEHROTRAIndirect owner · Schedule BInterest in PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUST
50% to < 75%
DEBRA JILL RIEDLIndirect owner · Schedule BInterest in THE RIEDL FAMILY REVOCABLE TRUST
50% to < 75%
RICHA NMN MEHROTRAIndirect owner · Schedule BInterest in PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUST
50% to < 75%
ROLAND GLEN STEPHENSONIndirect owner · Schedule BInterest in STEPHENSON FAMILY LIMITED PARTNERSHIP LP
25% to < 50%
SUE ELLEN STEPHENSONIndirect owner · Schedule BInterest in STEPHENSON FAMILY LIMITED PARTNERSHIP LP
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Endowment Wealth Management, Inc...
Reported ownership and control details
Form ADV · Filing date 2026-07-06 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | PRATEEK NMN MEHROTRAVICE PRESIDENT/ SECRETARY/ CHIEF INVESTMENT OFFICERIndividual | ENDOWMENT WEALTH MANAGEMENT, INC. | Less than 5%Code NA | Yes | VICE PRESIDENT/ SECRETARY/ CHIEF INVESTMENT OFFICER02/2013 | Schedule APDF page 73 |
| 2 | ROBERT LOUIS RIEDLPRESIDENT/ CHIEF EXECUTIVE OFFICER/ TREASURER/ DIRECTOR OF WEALTH MANAGEMENTIndividual | ENDOWMENT WEALTH MANAGEMENT, INC. | Less than 5%Code NA | Yes | PRESIDENT/ CHIEF EXECUTIVE OFFICER/ TREASURER/ DIRECTOR OF WEALTH MANAGEMENT02/2013 | Schedule APDF page 73 |
| 3 | WENDY STEPHENSON ORTHSHAREHOLDERIndividual | ENDOWMENT WEALTH MANAGEMENT, INC. | 5% to less than 10%Code A | No | SHAREHOLDER12/2015 | Schedule APDF page 73 |
| 4 | 0913, LLCSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 10% to less than 25%Code B | No | SHAREHOLDER09/2013 | Schedule APDF page 73 |
| 5 | OTHMAR GROUP, LLCSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 5% to less than 10%Code A | No | SHAREHOLDER09/2013 | Schedule APDF page 73 |
| 6 | LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUSTSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 10% to less than 25%Code B | No | SHAREHOLDER05/2016 | Schedule APDF page 73 |
| 7 | STEPHENSON FAMILY LIMITED PARTNERSHIP LPSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 5% to less than 10%Code A | No | SHAREHOLDER12/2021 | Schedule APDF page 73 |
| 8 | TIMOTHY JOSEPH LANDOLTCHIEF COMPLIANCE OFFICERIndividual | ENDOWMENT WEALTH MANAGEMENT, INC. | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER01/2025 | Schedule APDF page 73 |
| 9 | THE RIEDL FAMILY REVOCABLE TRUSTSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 10% to less than 25%Code B | No | SHAREHOLDER11/2025 | Schedule APDF page 73 |
| 10 | PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUSTSHAREHOLDERDomestic entity | ENDOWMENT WEALTH MANAGEMENT, INC. | 10% to less than 25%Code B | No | SHAREHOLDER11/2025 | Schedule APDF page 73 |
| 11 | TODD CHARLES THIELMEMBERIndividual | 0913, LLC | 75% or moreCode E | Yes | MEMBER11/2013 | Schedule BPDF page 73 |
| 12 | ROLAND GLEN STEPHENSONLIMITED PARTNERIndividual | STEPHENSON FAMILY LIMITED PARTNERSHIP LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER11/2021 | Schedule BPDF page 73 |
| 13 | SUE ELLEN STEPHENSONLIMITED PARTNERIndividual | STEPHENSON FAMILY LIMITED PARTNERSHIP LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER11/2021 | Schedule BPDF page 73 |
| 14 | LARRY LEE RICETRUSTEEIndividual | LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | 50% to less than 75%Code D | Yes | TRUSTEE12/2012 | Schedule BPDF page 73 |
| 15 | NANCY EILEEN RICETRUSTEEIndividual | LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | 50% to less than 75%Code D | Yes | TRUSTEE12/2012 | Schedule BPDF page 73 |
| 16 | PAUL OTHMAR GEHLMANAGING MEMBERIndividual | OTHMAR GROUP, LLC | 75% or moreCode E | Yes | MANAGING MEMBER02/2000 | Schedule BPDF page 74 |
| 17 | ROBERT LOUIS RIEDLTRUSTEEIndividual | THE RIEDL FAMILY REVOCABLE TRUST | 50% to less than 75%Code D | Yes | TRUSTEE08/2025 | Schedule BPDF page 74 |
| 18 | PRATEEK NMN MEHROTRATRUSTEEIndividual | PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUST | 50% to less than 75%Code D | Yes | TRUSTEE11/2025 | Schedule BPDF page 74 |
| 19 | DEBRA JILL RIEDLTRUSTEEIndividual | THE RIEDL FAMILY REVOCABLE TRUST | 50% to less than 75%Code D | Yes | TRUSTEE08/2025 | Schedule BPDF page 74 |
| 20 | RICHA NMN MEHROTRATRUSTEEIndividual | PRATEEK MEHROTRA & RICHA MEHROTRA JOINT REVOCABLE LIVING TRUST | 50% to less than 75%Code D | Yes | TRUSTEE11/2025 | Schedule BPDF page 74 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 7/6/2026 4:36:42 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.