GRADIENT WEALTH MANAGEMENT
GRADIENT SECURITIES, LLC Legal Name
Adviser information for GRADIENT WEALTH MANAGEMENT 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 62 |
|---|---|
| Investment Advisory/Research | 62 |
| Registered Broker-Dealer Representatives | 58 |
| Registered State Investment Advisers | 62 |
| Licensed Agents of an Insurance Company | 50 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 6,625 | $475.2M |
| Total | 6,625 | $475.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,249 | $365.1M |
| HNW Individuals | 150 | $105.4M |
| 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 | 2 | $1.8M |
| 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 | 5 | $2.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 921 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSOLICITOR FEES |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-80807 |
|---|---|
| SEC ERA File Number | 801-80807 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127701 |
| Legal Entity Identifier | None |
Principal Office
4105 LEXINGTON AVENUE NSUITE 380
ARDEN HILLS
MN
United States
Monday - Friday, 8 A.M. TO 5 P.M. CST
Tel: 866-991-1539, Fax: 651-379-8040
Chief Compliance Officer
BRIAN REMME
4105 LEXINGTON AVENUE N
SUITE 380
ARDEN HILLS
MN
United States
Tel:
651-202-3511
Fax:
651-379-8040
B*****@*********************M
(Full email address available in API data)
Regulatory Contact
ROBERT SCOTT NELSON
PRESIDENT AND ELECTED MANAGER
4105 LEXINGTON AVENUE N.
SUITE 380
ARDEN HILLS
MN
United States
Tel:
866-991-1539
Fax:
651-379-8040
R******@*********************M
(Full email address available in API data)
Industry Affiliates
| ASCENTIUM INSURANCE SOLUTIONS, LLC | Insurance company or agency |
| CORE INCOME ADVISORS, LLC | Insurance company or agency |
| GRADIENT ADVISORS, LLC | Other investment adviser, including financial planners |
| GRADIENT ASSURANCE, LLC | Insurance company or agency |
| GRADIENT FINANCIAL GROUP, LLC | Accountant or accounting firmLawyer or law firm |
| GRADIENT INSURANCE BROKERAGE, INC. | Insurance company or agency |
| GRADIENT INVESTMENTS, LLC | Other 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 |
|---|---|---|---|---|---|
| NELSON, ROBERT SCOTT | Individual | – | PRESIDENT & ELECTED MANAGER | 03/2021 | < 5% |
| REMME, BRIAN ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2019 | < 5% |
| TAMI J. LUCIUS REVOCABLE TRUST DTD DECEMBER 17, 2020 | Domestic Entity | – | OWNER | 03/2022 | > 75% |
| LUCIUS, TAMI JEAN | Individual | – | TRUSTEE OF - TAMI J. LUCIUS REVOCABLE TRUST DTD DECEMBER 17, 2020 | 03/2022 | < 5% |
| WALCH, KRISTINA LEE | Individual | – | FINOP | 07/2023 | < 5% |