TROTT BROOK FINANCIAL
TROTT BROOK FINANCIAL, INC. Legal Name
Adviser information for TROTT BROOK FINANCIAL last updated from Form ADV on March 28th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| 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 | 358 | $81.0M |
| Non-Discretionary | 0 | $0 |
| Total | 358 | $81.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 110 | $39.1M |
| HNW Individuals | 39 | $41.9M |
| 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 | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-124792 |
|---|---|
| SEC ERA File Number | 801-124792 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290962 |
| Legal Entity Identifier | None |
Principal Office
3601 THURSTON AVESUITE 102
ANOKA
MN
United States
Monday - Friday, 8 - 4:30
Tel: (763) 213-1000, Fax: (763) 213-1001
Chief Compliance Officer
JAMES STEFFEN
CEO / FOUNDER/INVESTMENT ADVISOR REPRESENTATIVE
3601 THURSTON AVE
SUITE 102
ANOKA
MN
United States
Tel:
(763) 213-1000
Fax:
(763) 213-1001
J**@*************M
(Full email address available in API data)
Regulatory Contact
NIKKI CELLETTE
OFFICE MANAGER
3601 THURSTON AVE
SUITE 102
ANOKA
MN
United States
Tel:
(763) 213-1000
Fax:
(763) 213-1001
N****@*************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 |
|---|---|---|---|---|---|
| STEFFEN, JAMES, WARREN | Individual | – | FOUNDER / CEO / CCO | 11/2017 | > 75% |