RIA Intel›Advisers›Minnesota›SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

Advisory

N·CLOQUET, MN

Data as of Jan 21, 2026 · Source: SEC Form ADV

Total AUM

$356M

1-Year AUM Growth

+22.6%

3-Year CAGR

+17.6%

Employees

5

Assets Under Management

Total AUM$356M

Discretionary AUM$349M

Non-Discretionary AUM$7M

Discretionary %97.9%

Total Clients998

Team

Total Employees5

Investment Advisers6

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record19

First FilingSep 3, 2020

Latest FilingJan 21, 2026

🔒 Full AUM trend chart and 19 historical filings spanning 6+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.