KOWALSKI FINANCIAL INC.
Adviser information for KOWALSKI FINANCIAL INC. last updated from Form ADV on January 30th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 665 | $153.6M |
| Non-Discretionary | 0 | $0 |
| Total | 665 | $153.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 165 | $153.6M |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-119629 |
|---|---|
| SEC ERA File Number | 801-119629 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300424 |
| Legal Entity Identifier | None |
Principal Office
600 HIGHWAY 169 SOUTHSUITE 655
MINNEAPOLIS
MN
United States
Monday - Friday, 8-5
Tel: 952-297-8589, Fax: None
Chief Compliance Officer
MICHELLE ELLIOTT
600 HWY 169 SOUTH
STE 655
MINNEAPOLIS
MN
United States
Tel:
612-991-7911
M*******@********************M
(Full email address available in API data)
Regulatory Contact
MARC KOWALSKI
PRESIDENT
600 HWY 169 SOUTH
STE 655
MINNEAPOLIS
MN
United States
Tel:
612-991-7911
M******@********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 |
|---|---|---|---|---|---|
| KOWALSKI, MARC, RICHARD | Individual | – | PRESIDENT | 09/2018 | > 75% |
| ELLIOTT, MICHELLE, LEE | Individual | – | CCO | 01/2019 | < 5% |