AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $4.0 |
| Non-Discretionary | $5.5 |
| Total | $9.5 |
| Client | AUM |
|---|---|
| Retail | $8.4 |
| Pooled | $0.0 |
| Institutional | $1.1 |
| Total | $9.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 1,032 | $0.7 |
| Average Individual AUM | $673,312 | |
| HNW | 576 | $7.7 |
| Average HNW AUM | $13,323,989 | |
| Retail Total | 1,608 | $8.4 |
| Average Retail AUM | $5,204,897 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $4.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $9.5 |
| Retail SMA AUM | $8.4 |
| Institutional SMA AUM | $1.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 8% | $0.8 |
| Equity Non-Exch | 28% | $2.7 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 44% | $4.2 |
| Other Pools | 12% | $1.1 |
| Cash | 2% | $0.2 |
| Other | 6% | $0.6 |
| Total | 100% | $9.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIDUCIARY SERVICES COMPANY, LLC | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
13 active
| Name | Title |
|---|---|
| BURNS, ANN, BARRY | DIRECTOR |
| MCKINLEY, MARY, JULIE | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR |
| WEINSTEIN, STEVEN, BARRY | DIRECTOR |
| CASTELLANO, JAMES, GUY | DIRECTOR |
| CLIFFORD, SHARI, LYNN | CHIEF FINANCIAL OFFICER |
| GREINER-QUIETT, ELIZABETH, ANN | CHIEF OPERATIONS OFFICER |
| MITCHELL, JASON, KEITH | CHIEF COMPLIANCE OFFICER |
| LANG, ANDREW, EDWARD | CHIEF INVESTMENT OFFICER |
| LINEBERRY, DOUGLAS, JAY | CHIEF TRUST OFFICER |
| FIELDS, AMY, G | DIRECTOR |
ADVDB.CO • SOURCE: SEC
19 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KAREN RAU | ST PAUL | MN | S63|1995-08-31|S65|2005-11-02 | ||||||
| BECKY PRINS | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| JEFFREY TOLZIN | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| DEVON SANDHU | ST PAUL | MN | CHARTERED FINANCIAL ANALYST | ||||||
| CHRISTIAN NIELSEN | ST PAUL | MN | CHARTERED FINANCIAL ANALYST | ||||||
| ANDREW LANG | ST PAUL | MN | S63|2003-11-14 | CHARTERED FINANCIAL ANALYST | |||||
| JOHN KEOLKER | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| ELIZABETH VAN HOEVER | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| MICHELE BRIA | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| SEAN DEICHERT | ST PAUL | MN | S66|2015-03-31 | CERTIFIED FINANCIAL PLANNER | |||||
| CHERYL MCNARY | ST PAUL | MN | |||||||
| JACLYN STEIGER | ST PAUL | MN | S65|2020-08-03 | ||||||
| JOHN OBERG | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| LIDDY ACHTER | ST PAUL | MN | S66|2020-10-27 | ||||||
| MEAGHAN BRASSEY | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| THOMAS WALSH | ST PAUL | MN | CERTIFIED FINANCIAL PLANNER | ||||||
| ISAAC DAUGHERTY | ST PAUL | MN | |||||||
| MICHAEL CLANCEY | ST PAUL | MN | S63|2007-11-21 | CHARTERED FINANCIAL ANALYST | |||||
| ADAM TLUSTY | ST PAUL | MN | S63|2007-03-13|S66|2018-08-03 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $9.5 | $0.0 | 0% | 91 | 0 | 0% |
| 2024-04-02 | $9.5 | $0.0 | 0% | 88 | 3 | 3% |
| 2023-04-04 | $11.6 | -$2.1 | -18% | 84 | 7 | 8% |
| 2022-04-01 | $11.4 | -$1.9 | -17% | 78 | 13 | 17% |
| 2021-04-05 | $9.1 | $0.4 | 4% | 76 | 15 | 20% |
| 2020-04-01 | $7.7 | $1.8 | 24% | 74 | 17 | 23% |
| 2019-04-01 | $5.8 | $3.8 | 65% | 74 | 17 | 23% |
| 2018-04-02 | $5.6 | $3.9 | 71% | 71 | 20 | 28% |
| 2017-04-01 | $4.8 | $4.7 | 99% | 73 | 18 | 25% |
| 2016-04-01 | $4.6 | $4.9 | 106% | 72 | 19 | 26% |
| 2015-04-01 | $4.8 | $4.7 | 100% | 74 | 17 | 23% |
| 2014-04-01 | $4.6 | $4.9 | 105% | 74 | 17 | 23% |
| 2013-04-01 | $5.0 | $4.5 | 91% | 72 | 19 | 26% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| MN, CA-10/04/1999, FL-03/24/2017, IL-03/28/2017, MA-11/22/2002, MD-03/24/2017, MN-01/31/1967, MT-11/13/1998, NC-03/23/2018, NH-03/24/2017, NV-01/02/2024, NY-01/31/2003, OR-03/24/2017, PA-03/24/2017, SC-03/12/2024, TX-03/24/2017, WA-07/15/1974 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV