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Prateek Nmn Mehrotra

ENDOWMENT WEALTH MANAGEMENT

APPLETON, WI

·CRD# 4618007·23 years experience

Professional Summary

Prateek Nmn Mehrotra, who also goes by Prateek Mehrotra, is a registered financial advisor currently at ENDOWMENT WEALTH MANAGEMENT, INC. located in Appleton, Wisconsin and ETF MODEL SOLUTIONS, LLC located in Appleton, Wisconsin. Prateek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Prateek has worked at 4 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Prateek Mehrotra

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

ENDOWMENT WEALTH MANAGEMENT, INC.·CRD# 108652

RIA

W6272 Communication Court, Appleton, WI 54914-8531

March 13, 2013 - Present

ETF MODEL SOLUTIONS, LLC·CRD# 168410

RIA

W6272 Communication Court, Appleton, WI 54914-8531

November 19, 2013 - Present

ISECTORS, LLC·CRD# 147589

RIA

Appleton, WI

May 2, 2012 - February 6, 2013

SUMNICHT & ASSOCIATES, LLC·CRD# 111421

RIA

Appleton, WI

January 28, 2003 - February 6, 2013

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Current Firm

ENDOWMENT WEALTH MANAGEMENT, INC.

ENDOWMENT WEALTH MANAGEMENT, INC.

CAPITAL NORTH LTD | ENDOWMENT WEALTH MANAGEMENT, INC.

CRD#: 108652 / SEC#: 801-112413

RIA

Registered Investment Advisory firm - SEC (2/8/2018 Approved)

Illinois

Registered Investment Advisory firm - Illinois (2/23/2018 Terminated)

Minnesota

Registered Investment Advisory firm - Minnesota (12/16/2015 Terminated)

Texas

Registered Investment Advisory firm - Texas (2/26/2018 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (2/27/2018 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).

Contact Information

Main Address

W6272 Communication Court, Appleton, WI 54914-8531

Phone Number

(920) 785-6010

# of Employees

14

SEC notice filing (12 States and Territories)

Registered to provide investment advisory services in 12 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ENDOWMENT WEALTH MANAGEMENT, INC. ADV BROCHURE (3/30/2026)

Regulatory Assets Under Management

Total Number of Accounts

3,057

AUM (Assets Under Management)

$609,222,636

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

02/2013 - PRESENT: ENDOWMENT WEALTH MANAGEMENT, INC. ("EWM"). EWM IS AN INVESTMENT-RELATED BUSINESS. EWM IS LOCATED AT W6272 COMMUNICATIONS COURT, APPLETON, WI, 54914. EWM IS A SEC-REGISTERED INVESTMENT ADVISER. EWM IS UNDER COMMON OWNERSHIP AND SHARES HEADQUARTERS WITH ETF MODEL SOLUTIONS, LLC ("ETFMS"). MR. MEHROTRA'S TITLE WITH EWM IS CHIEF INVESTMENT OFFICER. MR. MEHROTRA IS A SHAREHOLDER, BOARD MEMBER, VICE PRESIDENT, SECRETARY, CHIEF INVESTMENT OFFICER, MEMBER OF THE INVESTMENT COMMITTEE, AND INVESTMENT ADVISER REPRESENTATIVE FOR EWM. MR. MEHROTRA DEVOTES APPROXIMATELY 140 HOURS PER MONTH TO EWM, ABOUT 80 OF WHICH ARE DURING NORMAL SECURITIES TRADING HOURS. MR. MEHTROTRA CONDUCTS INVESTMENT RESEARCH AND INVESTMENT ADVISORY ACTIVITIES IN HIS ROLE AT EWM. 05/2013 - PRESENT: ETF MODEL SOLUTIONS, LLC ("ETFMS). ETFMS IS AN INVESTMENT-RELATED BUSINESS. ETFMS IS LOCATED AT W6272 COMMUNICATIONS COURT, APPLETON, WI 54914. ETFMS IS A SEC-REGISTERED INVESTMENT ADVISER. ETFMS IS UNDER COMMON OWNERSHIP AND SHARES HEADQUARTERS WITH EWM. MR. MEHROTRA'S TITLE AT ETFMS IS CHIEF INVESTMENT OFFICER. MR. MEHROTRA IS A MANAGING MEMBER, CHIEF INVESTMENT OFFICER, INVESTMENT COMMITTEE MEMBER AND INVESTMENT ADVISER REPRESENTATIVE FOR ETFMS. MR. MEHROTRA DEVOTES APPROXIMATELY 50 HOURS PER MONTH TO ETFMS, ABOUT 30 OF WHICH ARE DURING NORMAL SECURITIES TRADING HOURS. MR. MEHROTRA CONDUCTS MANAGEMENT, RESEARCH AND ADVISORY ACTIVITIES IN HIS ROLE AT ETFMS. 06/2021 - PRESENT: GLOBAL ALTERNATIVE INVESTMENT MANAGEMENT LLC ("GAIM"). GAIM IS AN INVESTMENT-RELATED BUSINESS. GAIM IS LOCATED AT W6272 COMMUNICATIONS COURT, APPLETON, WI 54914. GAIM IS A PRIVATE FUND MANAGER THAT RELIES ON THE INVESTMENT ADVISER REGISTRATION OF EWM. GAIM IS UNDER COMMON OWNERSHIP AND SHARES HEADQUARTERS WITH EWM. MR. MEHROTRA'S TITLE AT GAIM IS CHIEF INVESTMENT OFFICER. MR. MEHROTRA IS MANAGING MEMBER AND CHIEF INVESTMENT OFFICER AT GAIM. MR. MEHROTRA DEVOTES APPROXIMATELY 50 HRS PER MONTH TO GAIM, ABOUT 30 OF WHICH ARE DURING NORMAL SECURITIES TRADING HOURS. MR. MEHROTRA CONDUCTS MANAGEMENT AND INVESTMENT ACTIVITIES IN HIS ROLE AT GAIM.

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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".

ENDOWMENT WEALTH MANAGEMENT, INC.

ENDOWMENT WEALTH MANAGEMENT, INC.

CAPITAL NORTH LTD | ENDOWMENT WEALTH MANAGEMENT, INC.

CRD#: 108652 / SEC#: 801-112413

RIA

Registered Investment Advisory firm - SEC (2/8/2018 Approved)

Illinois

Registered Investment Advisory firm - Illinois (2/23/2018 Terminated)

Minnesota

Registered Investment Advisory firm - Minnesota (12/16/2015 Terminated)

Texas

Registered Investment Advisory firm - Texas (2/26/2018 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (2/27/2018 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.

IAR

Wisconsin
(3/13/2013)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2003About the Series 65 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Prateek Nmn Mehrotra's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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