ROSSJOHNSON & ASSOCIATES, LLC
Adviser information for ROSSJOHNSON & ASSOCIATES, LLC last updated from Form ADV on March 7th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 493 | $145.4M |
| Non-Discretionary | 2 | $5.1M |
| Total | 495 | $150.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 188 | $50.9M |
| HNW Individuals | 50 | $94.5M |
| 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 | <5 | $5.1M |
| Charitable organizations | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118296 |
|---|---|
| SEC ERA File Number | 801-118296 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297583 |
| Legal Entity Identifier | None |
Principal Office
3380 ANNAPOLIS LANEN B-100
PLYMOUTH
MN
United States
Monday - Friday, 8:00AM - 6:00PM
Tel: 763-560-2127, Fax: N/A
Websites
Chief Compliance Officer
ANTHONY JOHNSON
MANAGING MEMBER & CHIEF COMPLIANCE OFFICER
3380 ANNAPOLIS LANE
N B-100
PLYMOUTH
MN
United States
Tel:
763-560-2127
Fax:
763-566-7178
T***@*****************M
(Full email address available in API data)
Regulatory Contact
PATRICK T ROSS
MEMBER
3380 ANNAPOLIS LANE
N B-100
PLYMOUTH
MN
United States
Tel:
763-560-2127
Fax:
763-566-7178
P**@*****************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 |
|---|---|---|---|---|---|
| JOHNSON, ANTHONY, R | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 06/1998 | 50-75% |
| ROSS, PATRICK, TERRENCE | Individual | – | MEMBER | 06/1998 | 50-75% |