Fees and Form ADV
Short answer: The firm’s Form ADV brochure dated 29 August 2025 states maximum asset management fees from 1.50% down to 0.60%, a $500,000 account minimum that may be waived, and no performance-based fees[1].
What is the Form ADV brochure?
Form ADV Part 2 is the plain-English disclosure brochure an SEC-registered investment adviser files and gives to clients. The firm’s brochure, dated 29 August 2025, is for the firm and says the SEC has not approved or verified its contents, and that being registered does not imply a certain level of skill or training[1]. The SEC database lists a more recent ADV filing date of 4 February 2026[2], so figures below may have changed. Read the current brochure before relying on any figure.
What services does the brochure describe?
The brochure says the firm is a fee-based financial planning and investment management firm that is also an insurance agency, and describes discretionary asset management, management of held-away accounts such as workplace retirement plan accounts, one-time financial planning and ongoing financial planning, plus services for retirement plans and employers[1]. It says the firm does not act as custodian of client assets and places trades under a limited power of attorney[1].
What fees does the brochure state?
| Assets under management | Maximum annual fee |
|---|---|
| Up to $1,000,000 | 1.50% |
| $1,000,001 to $2,500,000 | 1.25% |
| $2,500,001 to $10,000,000 | 1.00% |
| Over $10,000,000 | 0.60% |
The brochure says this is a tiered schedule in which the entire portfolio is charged the same rate, that the fee is negotiable and billed quarterly in arrears, and that lower fees for comparable services may be available from other sources. It states an hourly fee of $300 for one-time planning and a negotiable monthly fee between $30 and $1,000 for ongoing planning, and says it does not charge performance-based fees[1]. Clients also pay custodial and fund-level costs separately[1].
What account minimum does it state?
The brochure says the firm requires a minimum of $500,000 to open an account, which may be lowered or waived in certain instances[1]. The firm’s website describes a free initial case analysis for hockey families[3]; whether the minimum applies to every client is not stated on the pages this wiki read.
What assets does the firm report managing?
The brochure reports $184,012,680 in discretionary assets under management and none non-discretionary, calculated 24 August 2025[1]. That is the firm’s figure for the whole firm.
What conflicts of interest does it disclose?
The brochure discloses that Johann Kroll acts as an insurance agent with the firm, about 1% of his time, which it says creates an incentive to recommend products based on commissions, and that he also runs a Canadian advisory firm, The Hockey Wealth Group Canada LLC, about 20% of his time[1]. It says clients are not required to buy insurance through the firm[1]. It names Charles Schwab & Co., Inc. and Altruist as broker-dealers the firm may recommend, and says neither is affiliated with the firm[1].
What does it say about disciplinary history?
Item 9 of the brochure says the firm and its management have not been involved in any criminal or civil action, administrative enforcement proceeding or disciplinary event material to a client’s evaluation[1]. The SEC database shows no disclosure flag for the firm or the four people listed on the firm’s team page, as read 31 October 2026[2][4][5][6][7].
What should a reader keep in mind?
This page restates what the firm discloses. It is not advice and does not say whether the fees are reasonable or whether the firm is a fit for any person.
Frequently asked questions
What is the firm’s stated minimum account size?
The Form ADV brochure says $500,000, which may be lowered or waived.
Does the firm charge performance fees?
The brochure says it does not use a performance-based fee structure.
See also
References
- ^ a b c d e f g h i j k l Form ADV Part 2A and 2B disclosure brochure, dated August 29, 2025. The registered adviser, via U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.
- ^ a b Adviser firm summary, CRD 170307. U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.
- ^ Schedule a Call. The Hockey Wealth Group (hockeywealth.com). Retrieved 31 October 2026.
- ^ Johann Robert Kroll, individual summary (CRD 6297173). U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.
- ^ Patrick Joseph Gaul, individual summary (CRD 6889786). U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.
- ^ Tyson Riley Strachan, individual summary (CRD 7120784). U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.
- ^ Nicholas Glen Schilkey, individual summary (CRD 7910999). U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure. Retrieved 31 October 2026.