CTB FINANCIAL SERVICES, LTD.
Adviser information for CTB FINANCIAL SERVICES, LTD. last updated from Form ADV on March 14th, 2023. 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 | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 1,033 | $218.3M |
| Non-Discretionary | 0 | $0 |
| Total | 1,033 | $218.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 199 | $60.4M |
| HNW Individuals | 102 | $157.9M |
| 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 | 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-68577 |
|---|---|
| SEC ERA File Number | 801-68577 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141278 |
| Legal Entity Identifier | None |
Principal Office
5811 SOUTH CEDAR LAKE ROADSAINT LOUIS PARK
MN
United States
Monday - Friday, 9 - 5
Tel: 952-546-5456, Fax: 952-546-7149
Chief Compliance Officer
JONATHAN LIANG
PRESIDENT
5811 SOUTH CEDAR LAKE ROAD
SAINT LOUIS PARK
MN
United States
Tel:
9525465456
Fax:
9525467149
J*******@*********M
(Full email address available in API data)
Regulatory Contact
O. CHARLES BROWN
VICE PRESIDENT
5811 SOUTH CEDAR LAKE ROAD
SAINT LOUIS PARK
MN
United States
Tel:
952-546-5456
Fax:
952-546-5456
C****@*********M
(Full email address available in API data)
Industry Affiliates
| PUBLIC ACCOUNTING FIRM | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LIANG, JONATHAN, WAYNE | Individual | – | CHIEF COMPLIANCE OFFICER, PRESIDENT | 10/2006 | > 75% |
| BROWN, OZRO, CHARLES | Individual | – | VICE PRESIDENT | 10/2006 | 10-25% |