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SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

dba SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC · CRD 152003 · Registered Investment Adviser

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC is a Registered Investment Adviser headquartered in CLOQUET, MN. The firm reports $356,141,386 in regulatory assets under management across 2,084 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$348,798,146
Non-discretionary$7,343,240
Total RAUM$356,141,386
Accounts2,084

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 152003. adviserinfo.sec.gov/firm/summary/152003.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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