Karli Caine

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-08-11
WI	RA	APPROVED	2021-12-16

Branch Locations

N19 W24400 Riverwood Dr, Waukesha, WI 53188 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	06/2020	Present
University Of Wisconsin- Madison	Madison	WI	09/2019	01/2021
Merrill Lynch	Madison	WI	06/2020	08/2020
Marquardt Village	Watertown	WI	06/2018	01/2020
Browns Shoe Co.	Watertown	WI	06/2017	06/2018
Famous Footwear	Johnson Creek	WI	01/2016	03/2017
Highway Harry's	Johnson Creek	WI	03/2017	08/2017
Lakefront Title	Waukesha	WI	01/2021	06/2021
Bank Of America N.A.	Waukesha	WI	04/2023	Present

06/2020 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
09/2019 → 01/2021

University Of Wisconsin- Madison

Madison, WI
06/2020 → 08/2020

Merrill Lynch

Madison, WI
06/2018 → 01/2020

Marquardt Village

Watertown, WI
06/2017 → 06/2018

Browns Shoe Co.

Watertown, WI
01/2016 → 03/2017

Famous Footwear

Johnson Creek, WI
03/2017 → 08/2017

Highway Harry's

Johnson Creek, WI
01/2021 → 06/2021

Lakefront Title

Waukesha, WI
04/2023 → Present

Bank Of America N.A.

Waukesha, WI

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-12-15