Split Rock Private Trading And Wealth Management LLC

RIASEC RegisteredEst. 2020

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 SEC-registered limited liability company providing fee-based portfolio management for individuals, families and institutional clients. Registered in 2020 and owned by an individual, the firm charges a percentage-of-AUM fee and focuses on discretionary portfolio management for individuals/small businesses, investment companies and other institutions. It does not market itself as an ESG investor, is not a multi-state adviser, and does not serve as a pension consultant or capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

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

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

Unlock 1 more contacts →

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 35

Active vs passive

$121M in ETFs

Passive

37%

$45.4M

Active

63%

$76M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
NORTH SHORE EQUITY ROTATION ETF (KOOL)		Active	Global Large Stock Blend	$49.6M	3,825,125	40.84%

Unlock additional holdings →

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

Similar firms

Fpnavigators

Maple Grove, MN

AUM $355MTEAM 8REPS 5

Cloverfields Capital Group, LP

Minneapolis, MN

AUM $359MTEAM 2REPS 3

Fortress Financial Group, LLC

Rochester, MN

AUM $352MTEAM 10REPS 8

Cordis Financial, LLC

Minneapolis, MN

AUM $361MTEAM 7REPS 5

LFA

Saint Cloud, MN

AUM $351MTEAM 7REPS 7

India Capital LLC

Minneapolis, MN

AUM $365MTEAM 1REPS 2

More RIAs in Cloquet →All Minnesota RIAs →