SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Adviser information for SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC last updated from Form ADV on January 31st, 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 | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,791 | $218.1M |
| Non-Discretionary | 43 | $6.5M |
| Total | 1,834 | $224.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 923 | $193.4M |
| HNW Individuals | 19 | $27.0M |
| 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 | $1.3M |
| Charitable organizations | <5 | $2.8M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119587 |
|---|---|
| SEC ERA File Number | 801-119587 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152003 |
| Legal Entity Identifier | None |
Principal Office
105 ARCH STCLOQUET
MN
United States
Monday - Friday, 8:30 AM -4:30 PM
Tel: (218) 879-3262, Fax: (218) 336-2952
Websites
Chief Compliance Officer
MARK JOSEPH COOL
MANAGING MEMBER
105 ARCH ST
CLOQUET
MN
United States
Tel:
(218) 879-3262
Fax:
(218) 336-2952
M****@**************************M
(Full email address available in API data)
Regulatory Contact
TYLER KOCON
MANAGING MEMBER
105 ARCH ST
CLOQUET
MN
United States
Tel:
(218) 879-3262
Fax:
(218) 336-2952
T*****@**************************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 |
|---|---|---|---|---|---|
| KOCON, TYLER, ALLEN | Individual | – | MANAGING MEMBER | 12/2009 | 50-75% |
| COOL, MARK, JOSEPH | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 01/2013 | 50-75% |