Jeremy P. Schwab

SUGAR MAPLE ASSET MANAGEMENT

Sister Bay, WI 54234

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CRD#: 2890688

Professional summary

Jeremy Paul Schwab, CFP® is a registered financial advisor currently at SUGAR MAPLE ASSET MANAGEMENT, LLC located in Sister Bay, Wisconsin.

Jeremy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jeremy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CAVU Capital Partners President 2580 S Bay Shore Drive Suite D Sister Bay, WI 54234 Relationship began in December of 2020 The business is a private fund Jeremy works approximately 10-15 hours a month; approximately 10-15 hours a month are during trading hours Jeremy is the owner of the business and directs employees

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy Paul Schwab's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

January 8, 2016 - Present

SUGAR MAPLE ASSET MANAGEMENT, LLC

Office #1: 2580 S Bay Shore Drive Suite C, Sister Bay, WI 54234

RIA

CRD#: 282632

Sister Bay, WI

Past

September 18, 2013 - January 20, 2016

ADMIRAL ASSET MANAGEMENT, LLC

RIA

CRD#: 163093

STURGEON BAY, WI

Past

October 11, 2011 - February 3, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

STURGEON BAY, WI

Past

October 11, 2011 - February 3, 2016

LPL FINANCIAL LLC

CRD#: 6413

STURGEON BAY, WI

Past

October 15, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

GREENBAY, WI

Past

October 7, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

GREENBAY, WI

Past

February 23, 2005 - July 17, 2009

BAKER TILLY INVESTMENT ADVISORS

RIA

CRD#: 111264

MADISON, WI

Past

February 18, 2005 - July 17, 2009

BAKER TILLY CAPITAL, LLC

CRD#: 115333

MADISON, WI

Past

September 1, 1998 - February 14, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUGAR MAPLE ASSET MANAGEMENT, LLC

CRD#: 282632 / SEC#: 801-126457

RIA

Registered Investment Advisory firm - (8/29/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (9/1/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/18/2023)

IAR

Wisconsin
(1/8/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/31/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/30/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2012

General Securities Principal Examination

Current Firm

SUGAR MAPLE ASSET MANAGEMENT, LLC

CRD#: 282632 / SEC#: 801-126457

RIA

Registered Investment Advisory firm - (8/29/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (9/1/2022 Terminated)

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Contact information

Main Address

2580 S Bay Shore Drive Suite C, Sister Bay, WI 54234

Mailing Address

Po Box 3, Peshtigo, WI 54157

Phone number

(920) 585-4985

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUGAR MAPLE ASSET MANAGEMENT, LLC ADV PART II (10/8/2025)

Regulatory assets under management

Total Number of Accounts	205
AUM (Assets Under Management)	$ 259,047,603

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Jeremy P. Schwab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy Paul Schwab's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADMIRAL ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BAKER TILLY INVESTMENT ADVISORS

BAKER TILLY CAPITAL, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

SUGAR MAPLE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 9/11/1998

SIE

Date: 2/3/2016

Series 7

Date: 8/31/1998

Series 53

Date: 8/30/2012

Series 24

Date: 4/30/2012

Current Firm

SUGAR MAPLE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUGAR MAPLE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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