EXCEL FINANCIAL, LLC
Adviser information for EXCEL FINANCIAL, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,024 | $311.2M |
| Non-Discretionary | 46 | $8.4M |
| Total | 1,070 | $319.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 348 | $83.8M |
| HNW Individuals | 56 | $134.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 22 | $99.0M |
| Charitable organizations | <5 | $1.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-107211 |
|---|---|
| SEC ERA File Number | 801-107211 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145301 |
| Legal Entity Identifier | None |
Principal Office
321 MAIN STREETRED WING
MN
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (651) 388-6441, Fax: (651) 319-9430
Chief Compliance Officer
JAMES LOQUAI
MEMBER
321 MAIN STREET
RED WING
MN
United States
Tel:
(651) 314-7296
Fax:
(651) 314-7296
J**@***********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOQUAI, JAMES, SCOTT | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 10/2007 | 10-25% |
| LOQUAI, JOHN, RAYMOND | Individual | – | MEMBER | 07/2013 | 25-50% |
| URBACH, BRENT, LESLIE | Individual | – | MEMBER | 06/2015 | 25-50% |
| Spangler, Michael, Wayne | Individual | – | MANAGING MEMBER | 01/2022 | 25-50% |