Brian D. Klein

CURI CAPITAL

Milwaukee, WI 53226

Some features on this profile are disabled

CRD#: 6935601

Professional summary

Brian David Klein, CFP®, who also goes by Brian D Klein, is a registered financial advisor currently at CURI CAPITAL, LLC located in Milwaukee, Wisconsin.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Brian has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian D Klein

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.

Wealth Enhancement Group DBA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Klein'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: 2020

Experience

Current

September 7, 2022 - Present

CURI CAPITAL, LLC

Office #1: 10361 West Innovation Drive Suite 350, Milwaukee, WI 53226

RIA

CRD#: 134249

Milwaukee, WI

Past

January 2, 2021 - August 25, 2022

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

Brookfield, WI

Past

September 21, 2020 - January 13, 2021

SVA WEALTH MANAGEMENT, LLC

RIA

CRD#: 159216

Madison, WI

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".

CURI CAPITAL, LLC

CRD#: 134249 / SEC#: 801-63939

RIA

Registered Investment Advisory firm - (2/15/2005 Approved)

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

Wisconsin
(9/7/2022)

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: 10/28/2021

Uniform Investment Adviser Law Examination

Current Firm

CURI CAPITAL, LLC

CRD#: 134249 / SEC#: 801-63939

RIA

Registered Investment Advisory firm - (2/15/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One North Wacker Drive Suite 3500, Chicago, IL 60606

Mailing Address

Phone number

(312) 993-5800

Established

Firm type

Fiscal year end

# of Employees

168

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JULY 1, 2025 FORM ADV PART 2A CURI RMB CAPITAL, LLC (7/3/2025)

Regulatory assets under management

Total Number of Accounts	13,209
AUM (Assets Under Management)	$ 9,830,680,915

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/01/2025	Cover Page	Report
11/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report
09/26/2022	Cover Page	Report

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.

Similar Advisors

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian D. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CURI CAPITAL, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

SVA WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

CURI CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2021

Current Firm

CURI CAPITAL, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CURI CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors