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GEN FINANCIAL MANAGEMENT INC.

dba GEN FINANCIAL MANAGEMENT INC. · CRD 110179 · Registered Investment Adviser

GEN FINANCIAL MANAGEMENT INC. is a Registered Investment Adviser headquartered in PLYMOUTH, MN. The firm reports $331,817,781 in regulatory assets under management across 1,170 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$316,982,065
Non-discretionary$14,835,716
Total RAUM$331,817,781
Accounts1,170

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 110179. adviserinfo.sec.gov/firm/summary/110179.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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