Excel Financial, LLC

RIASEC Registered

Total AUM

$404M

Discretionary

$348M

86% of AUM

Avg account

$359K

Accounts

1,128

Employees

Advisory reps

Firm details

Headquarters: Red Wing, Minnesota
CRD number: 145301
Registered since: January 28, 2016
Website: www.excelfinllc.com
Custodians: CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI49.68%
Pension & Profit Sharing Plans28.98%
Individuals20.45%
Charitable Organizations0.84%
Corporations / Businesses0.05%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Excel Financial, LLC operates as an independent registered investment adviser organized as a limited liability company. The firm is SEC-registered (registration year 2016) and is organized under individual ownership. It positions itself as a capital allocator serving both individual and family clients alongside institutional accounts. Revenue is generated through a mix of percentage-of-AUM fees as well as hourly and fixed-fee arrangements. Beyond advisory services, the firm is also active as an insurance broker. Advisory capabilities listed on the firm’s ADV emphasize financial planning and portfolio management for individuals, small businesses, and larger business or institutional entities, plus selection-of-other-advisers services. The firm does not identify itself as an active ESG investor.