Split Rock Private Trading and Wealth Management LLC

RIASEC Registered

Total AUM

$356M

Discretionary

$349M

98% of AUM

Avg account

$171K

Accounts

2,084

Employees

6

Advisory reps

5

Firm details

Headquarters: Cloquet, Minnesota
CRD number: 152003
Registered since: October 9, 2020
Website: www.splitrockprivatetrading.com
Custodians: FIDELITY DISTRIBUTORS COMPANY LLC, TRADE-PMR INC.
Fee structure: Percentage of AUM
Client types: Individuals46.48%
HNWI36.39%
Investment Companies15.07%
Pension & Profit Sharing Plans2.06%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Split Rock Private Trading and Wealth Management LLC is an independent RIA structured as an LLC and owned by an individual. The firm is SEC registered (registration effective 2020) and bills advisory fees as a percentage of assets under management. Its client base includes both individuals and families as well as institutional investors. Primary advisory activities are discretionary portfolio management for individuals/small businesses, investment companies, and other businesses or institutions. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds89%
Exchange Traded Equities8%
Cash & Cash Equivalents3%

Owners & executives

1 of 1

Mark Cool
Portfolio Manager, Chief Compliance OfficerCRD 3154345

Contacts

3 of 4

Tyler Kocon
Portfolio ManagerCRD 4146389
Kelly Johnson
Investment Advisor RepresentativeCRD 2067848
Dale Anich
Investment Advisor RepresentativeCRD 1283578

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 41

Active vs passive

$139M in ETFs

Passive

32%

$44.8M

Active

63%

$94.4M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
NORTH SHORE EQUITY ROTATION ETF (KOOL)		Active	Large Blend	$55.9M	3,842,590	40.12%

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Primary office

Cloquet, MN

Carlton

Location

Cloquet, MN

Headquartered in Cloquet, MN, in the Midwest of the United States.

Region: Midwest
County: Carlton
Address: 105 Arch St
Time zone: CT (UTC-6)
Office locations

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