Hedge Fund Database

360 FINANCIAL

360 FINANCIAL, INC. Legal Name

Adviser information for 360 FINANCIAL last updated from Form ADV on March 1st, 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 19
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 9
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,768 $437.5M
Non-Discretionary 3 $37.9M
Total 1,771 $475.4M

Clients

Type Number RAUM
Individuals 655 $194.8M
HNW Individuals 95 $234.0M
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 $38.5M
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 9 $8.1M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-78425
SEC ERA File Number 801-78425
SEC CIK Numbers 1802324
SEC CRD Numbers 168600
Legal Entity Identifier None

Principal Office

849 LAKE STREET EAST
WAYZATA
MN
United States
Monday - Friday, 8:00 AM - 5:00PM
Tel: 952-542-8900, Fax: 952-300-8018

Websites

www.youtube.com/user/360financialinc www.facebook.com/360financialmn/ www.linkedin.com/company/360-financial twitter.com/360financialmn?lang=en www.360financial.net

Chief Compliance Officer

MICHAEL ROGERS
PRESIDENT
849 LAKE STREET EAST
WAYZATA
MN
United States
Tel: 952-542-8900
Fax: 952-300-8018
(Full email address available in API data)

Regulatory Contact

JOHN VANDERPOEL
VICE PRESIDENT OF COMPLIANCE AND OPERATIONS
849 LAKE STREET EAST
WAYZATA
MN
United States
Tel: 952-595-5545
(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
ROGERS, MICHAEL, ANTHONY Individual – CHIEF COMPLIANCE OFFICER AND PRESIDENT 10/1995 > 75%

No. Employees, Historic

20100201920202021202220232024202514 on 5/3/201914 on 10/10/201914 on 11/20/201912 on 2/25/202012 on 6/2/202012 on 6/5/202012 on 6/5/202012 on 6/5/202012 on 3/8/202112 on 1/3/202216 on 3/7/202216 on 7/1/202216 on 7/27/202216 on 8/31/202216 on 10/11/202215 on 3/29/202316 on 5/22/202317 on 8/16/202318 on 10/17/202319 on 3/1/2024

RAUM, Historic

500M250M02019202020212022202320242025235765580 on 5/3/2019235765580 on 10/10/2019235765580 on 11/20/2019294989883 on 2/25/2020294989883 on 6/2/2020294989883 on 6/5/2020294989883 on 6/5/2020294989883 on 6/5/2020345750351 on 3/8/2021345750351 on 1/3/2022420716920 on 3/7/2022420716920 on 7/1/2022420716920 on 7/27/2022420716920 on 8/31/2022420716920 on 10/11/2022420597493 on 3/29/2023420597493 on 5/22/2023420597493 on 8/16/2023420597493 on 10/17/2023475415237 on 3/1/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025410 on 5/3/2019410 on 10/10/2019410 on 11/20/2019411 on 2/25/2020411 on 6/2/2020411 on 6/5/2020411 on 6/5/2020411 on 6/5/2020412 on 3/8/2021412 on 1/3/2022456 on 3/7/2022456 on 7/1/2022456 on 7/27/2022456 on 8/31/2022456 on 10/11/20221031 on 3/29/20231031 on 5/22/20231031 on 8/16/20231031 on 10/17/2023764 on 3/1/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 245K 2K –
ALPHABET INC CAP STK CL C 376K 2K –
AMAZON COM INC COM 688K 4K –
AMGEN INC COM 615K 2K –
AMMO INC COM 746K 444K –
APOGEE ENTERPRISES INC COM 367K 6K –
APPLE INC COM 2M 11K –
ARM HOLDINGS PLC SPONSORED ADS 417K 3K –
AUTOMATIC DATA PROCESSING IN COM 1M 4K –
BERKSHIRE HATHAWAY INC DEL CL A 612K 1 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 941K 2K –
CAMBRIA ETF TR SHSHLD YIELD ETF 14M 201K –
CISCO SYS INC COM 538K 11K –
COCA COLA CO COM 522K 8K –
COSTCO WHSL CORP NEW COM 2M 2K –
DIREXION SHS ETF TR DLY SCOND 3XBU 210K 4K –
DIREXION SHS ETF TR DLY TECH BULL 3X 208K 2K –
EXXON MOBIL CORP COM 233K 2K –
FASTENAL CO COM 1M 19K –
FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 457K 8K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 1M 24K –
FIRST TR NAS100 EQ WEIGHTED SHS 721K 6K –
FS KKR CAP CORP COM 597K 30K –
GLOBAL X FDS US INFR DEV ETF 12M 313K –
HONEYWELL INTL INC COM 424K 2K –
HORMEL FOODS CORP COM 253K 8K –
HUNTINGTON BANCSHARES INC COM 350K 27K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 20M 100K –
INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 271K 3K –
INVESCO EXCHANGE TRADED FD T S&P MDCP QUALITY 272K 3K –
INVESCO EXCHANGE TRADED FD T S&P SMCP VLU MNT 14M 260K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 2M 12K –
INVESCO QQQ TR UNIT SER 1 13M 27K –
ISHARES SILVER TR ISHARES 217K 8K –
ISHARES TR 0-5 YR TIPS ETF 766K 8K –
ISHARES TR CONV BD ETF 10M 131K –
ISHARES TR CORE DIV GRWTH 2M 39K –
ISHARES TR CORE S&P MCP ETF 3M 47K –
ISHARES TR CORE S&P SCP ETF 2M 23K –
ISHARES TR EXPANDED TECH 571K 7K –
ISHARES TR ISHARES SEMICDTR 14M 57K –
ISHARES TR MSCI USA MMENTM 4M 23K –
ISHARES TR MSCI USA QLT FCT 6M 37K –
ISHARES TR RUS 1000 ETF 231K 777 –
ISHARES TR RUS 1000 GRW ETF 501K 1K –
ISHARES TR RUS 2000 GRW ETF 6M 23K –
ISHARES TR RUSSELL 2000 ETF 404K 2K –
JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 290K 5K –
JOHNSON & JOHNSON COM 520K 4K –
LUMEN TECHNOLOGIES INC COM 18K 16K –
MARQETA INC CLASS A COM 67K 12K –
MERCK & CO INC COM 551K 4K –
META PLATFORMS INC CL A 491K 973 –
MICROSOFT CORP COM 3M 6K –
MOSAIC CO NEW COM 202K 7K –
NVIDIA CORPORATION COM 3M 28K –
OPKO HEALTH INC COM 97K 78K –
OUTSET MED INC COM 111K 29K –
PEPSICO INC COM 348K 2K –
PROCTER AND GAMBLE CO COM 473K 3K –
PROSHARES TR ULTRAPRO QQQ 205K 3K –
QUALCOMM INC COM 790K 4K –
QUANTA SVCS INC COM 483K 2K –
SELECT SECTOR SPDR TR SBI CONS DISCR 348K 2K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 282K 2K –
SELECT SECTOR SPDR TR TECHNOLOGY 580K 3K –
SOUTHWESTERN ENERGY CO COM 166K 25K –
SPDR S&P 500 ETF TR TR UNIT 2M 3K –
SPDR SER TR PORTFOLIO S&P500 961K 15K –
SPDR SER TR PRTFLO S&P500 GW 391K 5K –
SPDR SER TR S&P CAP MKTS 10M 87K –
SPDR SER TR S&P HOMEBUILD 12M 115K –
STEM INC COM 15K 13K –
SUPER MICRO COMPUTER INC COM 410K 500 –
UNITED PARCEL SERVICE INC CL B 316K 2K –
UNITEDHEALTH GROUP INC COM 421K 826 –
VANECK ETF TRUST JUNIOR GOLD MINE 263K 6K –
VANECK ETF TRUST MRNGSTR WDE MOAT 572K 7K –
VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 260K 3K –
VANGUARD INDEX FDS GROWTH ETF 2M 5K –
VANGUARD INDEX FDS MCAP GR IDXVIP 6M 27K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 1M 18K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 54M 295K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 2M 13K –
VANGUARD WORLD FD HEALTH CAR ETF 407K 2K –
VANGUARD WORLD FD INF TECH ETF 522K 904 –
VISA INC COM CL A 913K 3K –
WISDOMTREE TR GLB US QTLY DIV 16M 411K –
WP CAREY INC COM 221K 4K –