Kole Purtell

AVAII WEALTH MANAGEMENT

Appleton, WI 54913

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CRD#: 7536871

Professional summary

Kole Purtell is a registered financial advisor currently at AVAII WEALTH MANAGEMENT, LLC located in Appleton, Wisconsin.

Kole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Kole has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE 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.

1) Licensed insurance agent; Not investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kole Purtell'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®

None

Experience

Current

April 14, 2025 - Present

AVAII WEALTH MANAGEMENT, LLC

Office #1: 2101 N Casaloma Dr, Appleton, WI 54913

RIA

CRD#: 298165

Appleton, WI

Past

January 16, 2023 - April 2, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

APPLETON, 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".

AVAII WEALTH MANAGEMENT, LLC

CRD#: 298165 / SEC#: 801-113937

RIA

Registered Investment Advisory firm - (9/6/2018 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
(4/14/2025)

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: 4/14/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/16/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/11/2022

Securities Industry Essentials Examination

Current Firm

AVAII WEALTH MANAGEMENT, LLC

CRD#: 298165 / SEC#: 801-113937

RIA

Registered Investment Advisory firm - (9/6/2018 Approved)

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Contact information

Main Address

2101 N Casaloma Dr, Appleton, WI 54913

Mailing Address

Phone number

(920) 214-1212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVAII DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (8/20/2025)

Regulatory assets under management

Total Number of Accounts	2,402
AUM (Assets Under Management)	$ 442,587,428

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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Kole Purtell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kole Purtell's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVAII WEALTH MANAGEMENT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

AVAII WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/2025

Series 63

Date: 2/4/2023

Series 6TO

Date: 1/16/2023

SIE

Date: 10/11/2022

Current Firm

AVAII WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVAII WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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