GRADIENT ADVISORS, LLC
Adviser information for GRADIENT ADVISORS, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 157 |
|---|---|
| Investment Advisory/Research | 152 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 152 |
| Licensed Agents of an Insurance Company | 150 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,706 | $207.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2,706 | $207.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,658 | $126.1M |
| HNW Individuals | 45 | $80.7M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $302,215 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $59,798 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2706 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesREFERRAL FEES |
Identifiers
| SEC RIA File Number | 801-71000 |
|---|---|
| SEC ERA File Number | 801-71000 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152665 |
| Legal Entity Identifier | None |
Principal Office
4105 LEXINGTON AVENUE N.SUITE 225
ARDEN HILLS
MN
United States
Monday - Friday, 8-5
Tel: 877-885-0508, Fax: 651-604-8327
Chief Compliance Officer
CATHERINE A. PETERS
CCO
4105 LEXINGTON AVENUE N.
SUITE 225
ARDEN HILLS
MN
United States
Tel:
651-202-3543
C******@*******************M
(Full email address available in API data)
Regulatory Contact
ADAM ESTALL
PRESIDENT/ELECTED MANAGER
4105 LEXINGTON AVENUE N.
SUITE 225
ARDEN HILLS
MN
United States
Tel:
651-604-8310
A******@*******************M
(Full email address available in API data)
Industry Affiliates
| ASCENTIUM INSURANCE SOLUTIONS, LLC | Insurance company or agency |
| CORE INCOME SERVICES, LLC | Insurance company or agency |
| GRADIENT ASSURANCE, LLC | Insurance company or agency |
| GRADIENT FINANCIAL GROUP, LLC | Accountant or accounting firmLawyer or law firm |
| GRADIENT INSURANCE BROKERAGE, LLC | Insurance company or agency |
| GRADIENT INVESTMENTS, LLC | Other investment adviser, including financial planners |
| GRADIENT WEALTH MANAGEMENT | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PETERS, CATHERINE, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2014 | < 5% |
| ESTALL, ADAM, Keith | Individual | – | PRESIDENT/ ELECTED MANAGER | 01/2017 | < 5% |
| CHARLES E. LUCIUS REVOCABLE TRUST | Domestic Entity | – | MEMBER | 03/2022 | > 75% |