Data / Investment advisers / Serving individuals / Minnesota

Investment advisers in Minnesota serving individuals: 198 firms

Name: Investment advisers in Minnesota serving individuals: Form ADV data
Creator: SpecStream
License: https://creativecommons.org/licenses/by/4.0/

198 SEC registered investment advisers with a main office in Minnesota report individuals among their clients in Form ADV item 5.D, and together they attribute $403 billion of their assets under management to them, in the SEC's file of November 2, 2026. The adviser with the most is Ameriprise Financial Services, LLC.

SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.

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198Advisers
$403 billionAUM from this client type
194Advisers over $100 million
November 2, 2026File date

Advisers in Minnesota serving individuals

Ranked by the AUM the adviser attributes to this client type. Each row links to the firm page where it has one, and to its SEC record.

Adviser	City	Clients of this type	AUM from this type	Total AUM	Source
Ameriprise Financial Services, LLC	Minneapolis	1,189,138	$278.45 billion	$660.47 billion	adviserinfo.sec.gov
Wealth Enhancement Advisory Services, LLC	Plymouth	53,562	$72.28 billion	$122.19 billion	adviserinfo.sec.gov
Thrivent Investment Management Inc.	Minneapolis	106,954	$8.89 billion	$20.77 billion	adviserinfo.sec.gov
Gradient Investments, LLC	Arden Hills	24,809	$5.46 billion	$8.84 billion	adviserinfo.sec.gov
Thrivent Advisor Network, LLC	Minneapolis	13,130	$3.73 billion	$6.84 billion	adviserinfo.sec.gov
Focus Financial	Minneapolis	11,863	$2.84 billion	$6.82 billion	adviserinfo.sec.gov
Efs Advisors	Cambridge	21,660	$2.33 billion	$2.40 billion	adviserinfo.sec.gov
Berger Financial Group	Plymouth	2,942	$2.07 billion	$2.95 billion	adviserinfo.sec.gov
Cliftonlarsonallen Wealth Advisors, LLC	Minneapolis	4,202	$1.21 billion	$14.43 billion	adviserinfo.sec.gov
U.S. Bancorp Advisors, LLC	Saint Paul	2,809	$1.12 billion	$1.80 billion	adviserinfo.sec.gov
Northrock Partners, LLC	Minneapolis	2,523	$1.09 billion	$12.19 billion	adviserinfo.sec.gov
Redhawk Wealth Advisors, Inc.	Minneapolis	3,006	$1.02 billion	$1.46 billion	adviserinfo.sec.gov
Intellicents Investment Solutions Inc	Albert Lea	7,018	$989.4 million	$9.92 billion	adviserinfo.sec.gov
Advisornet Wealth Partners	Minnetonka	2,576	$867.7 million	$3.15 billion	adviserinfo.sec.gov
Fiduciary Counselling Inc	St Paul	1,002	$658.5 million	$10.06 billion	adviserinfo.sec.gov
Winslow Capital Management LLC	Minneapolis	1,549	$517.6 million	$28.66 billion	adviserinfo.sec.gov
Midwest Financial Partners	St. Cloud	112	$473.6 million	$1.52 billion	adviserinfo.sec.gov
Strategic Wealth Group	Eden Prairie	2,347	$460.5 million	$1.54 billion	adviserinfo.sec.gov
Great Waters Financial	Shoreview	1,244	$460.4 million	$1.24 billion	adviserinfo.sec.gov
Gradient Wealth Management	Arden Hills	4,386	$453.1 million	$607.9 million	adviserinfo.sec.gov
Stonebridge Capital Advisors LLC	St. Paul	1,071	$414.3 million	$2.52 billion	adviserinfo.sec.gov
Tradition Wealth Management LLC	Edina	1,576	$382.6 million	$2.60 billion	adviserinfo.sec.gov
Everest Financial Group	Minneapolis	1,590	$380.8 million	$1.00 billion	adviserinfo.sec.gov
Pine Grove Financial Group	Woodbury	898	$379.6 million	$1.49 billion	adviserinfo.sec.gov
Webb Financial Group	Bloomington	671	$373.7 million	$397.2 million	adviserinfo.sec.gov
Cherry Tree Wealth Management, LLC	Minnetonka	266	$369.8 million	$673.5 million	adviserinfo.sec.gov
Bluestem Wealth Partners, LLC	Minnetonka	1,334	$355 million	$1.12 billion	adviserinfo.sec.gov
Valtinson Bruner Financial Planning	New Brighton	1,800	$337.3 million	$712 million	adviserinfo.sec.gov
Usadvisors Wealth Management, LLC	Eden Prairie	1,818	$336.7 million	$483.3 million	adviserinfo.sec.gov
Affiance Financial LLC	St. Louis Park	820	$335.1 million	$1.37 billion	adviserinfo.sec.gov
Guardian Wealth Strategies, LLC	Minneapols	858	$332.6 million	$1.14 billion	adviserinfo.sec.gov
Vermillion Wealth Management Inc.	Rosemount	691	$304.7 million	$459.9 million	adviserinfo.sec.gov
Summit Investment Advisory Services	Roseville	755	$300.1 million	$745.8 million	adviserinfo.sec.gov
Ballast Advisors, LLC	Woodbury	645	$286.9 million	$674.5 million	adviserinfo.sec.gov
Jnba Financial Advisors, LLC	Bloomington	591	$279.7 million	$2.01 billion	adviserinfo.sec.gov
Isc Financial Advisors	Albert Lea	955	$272.2 million	$1.55 billion	adviserinfo.sec.gov
The Oak Ridge Financial Services Group, Inc	Golden Valley	836	$267.8 million	$668.6 million	adviserinfo.sec.gov
Minneapolis Portfolio Management Group, LLC	Wayzata	1,129	$258.7 million	$1.10 billion	adviserinfo.sec.gov
Lifelong Wealth Advisors, Inc.	Arden Hills	670	$257.3 million	$710.4 million	adviserinfo.sec.gov
Advisory Solutions Group	Plymouth	701	$238.2 million	$408.4 million	adviserinfo.sec.gov
Cahill Financial Advisors, Inc.	Edina	568	$217.7 million	$1.77 billion	adviserinfo.sec.gov
Boulay Wealth	Eden Prairie	466	$208.5 million	$3.01 billion	adviserinfo.sec.gov
Dorval & Chorne Financial Advisors	Maple Grove	573	$206.1 million	$373.9 million	adviserinfo.sec.gov
All Star Financial	Minneapolis	353	$199.5 million	$881.7 million	adviserinfo.sec.gov
Dougherty & Associates Financial Advisors, Inc.	Buffalo	989	$198 million	$382.9 million	adviserinfo.sec.gov
Fiat Wealth Management	Wayzata	518	$194.5 million	$517.4 million	adviserinfo.sec.gov
Capital Management Associates Inc	Minneapolis	560	$194 million	$1.88 billion	adviserinfo.sec.gov
Gradient Advisors, LLC	Arden Hills	2,097	$188.8 million	$289.3 million	adviserinfo.sec.gov
Trademark Financial Management, LLC	Bloomington	409	$178.4 million	$293.4 million	adviserinfo.sec.gov
Colliers Securities LLC	Minneapolis	735	$173.1 million	$329.6 million	adviserinfo.sec.gov
Split Rock Private Trading and Wealth Management LLC	Cloquet	596	$165.5 million	$356.1 million	adviserinfo.sec.gov
The Wealth Group, Austin B. Colby & Associates	Eden Prairie	314	$161.7 million	$711 million	adviserinfo.sec.gov
Logan Park Wealth Management	Minneapolis	303	$159 million	$464.8 million	adviserinfo.sec.gov
Feltl Advisors	Plymouth	395	$155.4 million	$165.6 million	adviserinfo.sec.gov
Greater Midwest Financial Group, LLC	Saint Paul	537	$154.4 million	$589.3 million	adviserinfo.sec.gov
360 Financial	Wayzata	756	$151 million	$700.5 million	adviserinfo.sec.gov
Cedar Cove Wealth Partners	Bloomington	1,155	$150.5 million	$455 million	adviserinfo.sec.gov
Marks Group Wealth Management, Inc.	Minnetonka	374	$149.8 million	$2.02 billion	adviserinfo.sec.gov
Iwealth	Waseca	647	$148.3 million	$311.6 million	adviserinfo.sec.gov
Secured Retirement Advisors, LLC	St Louis Park	536	$144.7 million	$255.1 million	adviserinfo.sec.gov
Fpnavigators	Maple Grove	342	$143.4 million	$355.1 million	adviserinfo.sec.gov
Oakwood Capital, Inc.	St. Louis Park	427	$141.6 million	$304.2 million	adviserinfo.sec.gov
Mann Financial Group	Detroit Lakes	488	$131.5 million	$395.5 million	adviserinfo.sec.gov
Michael Traxler Wealth Management, LLC	New Prague	403	$124.8 million	$194.7 million	adviserinfo.sec.gov
Vantage Point Wealth Management	Plymouth	891	$123.1 million	$326.6 million	adviserinfo.sec.gov
Nepsis, Inc.	Minneapolis	494	$120.7 million	$344.5 million	adviserinfo.sec.gov
Colleen Weber CPA, LLC	Chanhassen	50	$120.6 million	$120.6 million	adviserinfo.sec.gov
Van Clemens Wealth Management, LLC	Minneapolis	407	$119.7 million	$470.4 million	adviserinfo.sec.gov
Star Capital Inc.	Edina	664	$119.3 million	$143.6 million	adviserinfo.sec.gov
Paladin Financial	Arden Hills	450	$117.8 million	$216.9 million	adviserinfo.sec.gov
Financial Perspectives	Minneapolis	425	$114.8 million	$1.17 billion	adviserinfo.sec.gov
Petros Family Wealth, LLC	Bloomington	444	$109.8 million	$341.6 million	adviserinfo.sec.gov
MHS Advisory Services, LLC	Maple Grove	240	$105.2 million	$253.3 million	adviserinfo.sec.gov
Schwarz Dygos Wheeler Investment Advisors LLC	Minneapolis	303	$101.6 million	$730.4 million	adviserinfo.sec.gov
Cornerstone Wealth Advisors, Inc.	Edina	163	$100.3 million	$608.7 million	adviserinfo.sec.gov
Northland Capital Management	Virginia	196	$99.5 million	$235 million	adviserinfo.sec.gov
Birchwood Financial Partners, Inc.	Bloomington	319	$99.3 million	$853.2 million	adviserinfo.sec.gov
CFG Retirement	Edina	382	$96.9 million	$241 million	adviserinfo.sec.gov
Fortress Financial Group, LLC	Rochester	237	$95.3 million	$352.3 million	adviserinfo.sec.gov
Cordis Financial, LLC	Minneapolis	170	$95.2 million	$360.7 million	adviserinfo.sec.gov
Pitzl Financial	Arden Hills	211	$95 million	$498 million	adviserinfo.sec.gov
Element Squared Private Wealth	Minneapolis	397	$94.8 million	$203.5 million	adviserinfo.sec.gov
Legacy Wealth	Woodbury	347	$94 million	$546 million	adviserinfo.sec.gov
FFP Wealth Management, LLC	Coon Rapids	218	$93 million	$301.1 million	adviserinfo.sec.gov
Ais Planning	St. Cloud	320	$93 million	$591 million	adviserinfo.sec.gov
Tailwinds Wealth, LLC	Vadnais Heights	208	$92.7 million	$192.7 million	adviserinfo.sec.gov
Kure Advisory, LLC	Plymouth	313	$92.1 million	$259 million	adviserinfo.sec.gov
Accredited Investors Wealth Management	Edina	233	$92 million	$4.41 billion	adviserinfo.sec.gov
Parr McKnight Wealth Management Group	Minneapolis	279	$90 million	$1.07 billion	adviserinfo.sec.gov
Bearing360 Wealth	Richfield	134	$85.5 million	$1.11 billion	adviserinfo.sec.gov
Strategic Asset Management LLC.	Rochester	156	$83.1 million	$218.3 million	adviserinfo.sec.gov
Excel Financial, LLC	Red Wing	309	$82.7 million	$404.5 million	adviserinfo.sec.gov
Lfa	St. Cloud	419	$82.4 million	$351.5 million	adviserinfo.sec.gov
Northland Asset Management	Minneapolis	391	$79.2 million	$405.5 million	adviserinfo.sec.gov
Boyum Wealth Architects LLC	Bloomington	189	$76.8 million	$564 million	adviserinfo.sec.gov
Ascent Advisors	Mankato	150	$76.1 million	$110.8 million	adviserinfo.sec.gov
Modus Advisors, LLC	Excelsior	184	$74.1 million	$601.1 million	adviserinfo.sec.gov
North Compass Financial Advisors, LLC	Grand Rapids	268	$73.6 million	$146 million	adviserinfo.sec.gov
Punch & Associates Investment Management, Inc.	Edina	208	$72.2 million	$2.03 billion	adviserinfo.sec.gov
Trott Brook Financial	Anoka	122	$70.5 million	$120.5 million	adviserinfo.sec.gov
Freedom Financial Partners LLC	Oakdale	206	$67.5 million	$377.9 million	adviserinfo.sec.gov
Captar Private Wealth	St. Louis Park	170	$65.3 million	$165.5 million	adviserinfo.sec.gov
Mairs & Power	St. Paul	138	$64.9 million	$12.14 billion	adviserinfo.sec.gov
Silveroak Wealth Management LLC	Edina	116	$64.9 million	$2.00 billion	adviserinfo.sec.gov
Encore Wealth Advisors	Morris	382	$63.2 million	$121.7 million	adviserinfo.sec.gov
RBC Global Asset Management (U.S.) Inc.	Minneapolis	69	$62.9 million	$104.49 billion	adviserinfo.sec.gov
Access Financial Services, Inc.	Minneapolis	176	$62 million	$437.8 million	adviserinfo.sec.gov
Peak Financial Consulting, Inc.	Bloomington	320	$60.4 million	$132.3 million	adviserinfo.sec.gov
Highmark Wealth Management LLC	St. Paul	258	$60.1 million	$611.7 million	adviserinfo.sec.gov
Retire Agile	Hermantown	83	$59.8 million	$433.7 million	adviserinfo.sec.gov
Guardian Wealth Advisors, LLC	St Louis Park	175	$59.6 million	$300.2 million	adviserinfo.sec.gov
Bond & Devick Wealth Partners	Saint Louis Park	183	$59.1 million	$705.5 million	adviserinfo.sec.gov
Stevens Foster Financial Advisors	Bloomington	181	$58.1 million	$750.4 million	adviserinfo.sec.gov
MD Financial Advisors / Vestment Financial	Chanhassen	280	$57.4 million	$304.3 million	adviserinfo.sec.gov
Trailhead Planners, LLC	Edina	108	$57.4 million	$188.4 million	adviserinfo.sec.gov
MJT & Associates Financial Advisory Group, Inc.	Montevideo	242	$56.6 million	$198.9 million	adviserinfo.sec.gov
Winter & Associates, Inc.	St. Paul	161	$55.8 million	$179.7 million	adviserinfo.sec.gov
Cedrus Wealth Group	Andover	400	$55.4 million	$217.8 million	adviserinfo.sec.gov
Gen Financial Management Inc.	Plymouth	133	$55.1 million	$331.8 million	adviserinfo.sec.gov
Ulland Investment Advisors, LLC	Minneapolis	125	$54 million	$442.9 million	adviserinfo.sec.gov
Lifeplan Financial, LLC	Mankato	192	$51.7 million	$141 million	adviserinfo.sec.gov
Strong Tower Advisory Services	Minneapolis	176	$51.3 million	$759.2 million	adviserinfo.sec.gov
Underdog Wealth Management, LLC	Maple Grove	349	$51.1 million	$111.9 million	adviserinfo.sec.gov
Rossjohnson & Associates, LLC	Plymouth	192	$51 million	$211.6 million	adviserinfo.sec.gov
Josh Arnold Investment Consultant, LLC	Edina	204	$50.6 million	$142.1 million	adviserinfo.sec.gov
Stiles Financial Services, Inc.	Edina	142	$50.3 million	$548.7 million	adviserinfo.sec.gov
Navista Wealth Management, Inc.	Minnetonka	189	$49.7 million	$709.6 million	adviserinfo.sec.gov
Marquette Wealth Management	Minnetonka	95	$48.8 million	$1.07 billion	adviserinfo.sec.gov
Dunnavan & Co.	Minneapolis	155	$48 million	$392.7 million	adviserinfo.sec.gov
Legacy Financial Advisors Corporation	Bloomington	146	$47.6 million	$317.7 million	adviserinfo.sec.gov
Paradigm, Strategies in Wealth Management, LLC	Maple Grove	125	$47.5 million	$313.7 million	adviserinfo.sec.gov
Compass Capital Management Inc	Minneapolis	101	$46.9 million	$2.56 billion	adviserinfo.sec.gov
Boulevard	Bloomington	229	$45.9 million	$119.5 million	adviserinfo.sec.gov
Allodium Investment Consultants, LLC	Minneapolis	144	$45.5 million	$576.8 million	adviserinfo.sec.gov
MWM Wealth Advisory, LLC	Plymouth	164	$45 million	$144.4 million	adviserinfo.sec.gov
BGM Wealth Management	Bloomington	76	$44.9 million	$517.5 million	adviserinfo.sec.gov
Nicollet Investment Management, Inc.	Minneapolis	126	$44.9 million	$557.4 million	adviserinfo.sec.gov
Quarry Hill Advisors	Saint Paul	71	$43.9 million	$394.8 million	adviserinfo.sec.gov
Wacker & Associates, Inc.	Jackson	133	$42.9 million	$180.2 million	adviserinfo.sec.gov
Knox Avenue Financial Corp.	St. Paul	175	$42.3 million	$144.7 million	adviserinfo.sec.gov
Keystone Wealth Advisors, Incorporated	Eagan	41	$41.9 million	$201.4 million	adviserinfo.sec.gov
Trumix Advisors	Bloomington	120	$41.8 million	$169.9 million	adviserinfo.sec.gov
First Light Asset Management, LLC	Edina	167	$41.3 million	$1.41 billion	adviserinfo.sec.gov
E-Wealth Partners	Minnetonka	157	$41 million	$218.7 million	adviserinfo.sec.gov
Abbey Street	Eden Prairie	49	$40.7 million	$375.4 million	adviserinfo.sec.gov
Advanced Capital Group	Minneapolis	87	$40.4 million	$29.99 billion	adviserinfo.sec.gov
Tealwood Asset Management	Minneapolis	61	$39.6 million	$365.4 million	adviserinfo.sec.gov
High Note Wealth, LLC	Deephaven	91	$38.7 million	$683.5 million	adviserinfo.sec.gov
Superior Financial, LLC	Rochester	90	$37.6 million	$112.2 million	adviserinfo.sec.gov
Twin Cities Retirement Group	Plymouth	37	$36.6 million	$144.9 million	adviserinfo.sec.gov
Quantitative Asset Management, LLC	Minnetonka	109	$36.1 million	$187.4 million	adviserinfo.sec.gov
White Oaks Wealth Advisors, Inc.	Minneapolis	48	$33.9 million	$618.3 million	adviserinfo.sec.gov
Acumen Financial Advisors, LLC	Edina	86	$32.7 million	$465.2 million	adviserinfo.sec.gov
Bannerstone Capital	Wayzata	78	$32.4 million	$155.3 million	adviserinfo.sec.gov
PSC Financial LLC	Bloomington	72	$32.2 million	$135.1 million	adviserinfo.sec.gov
Great River Financial	Plymouth	80	$30.7 million	$201.9 million	adviserinfo.sec.gov
FBD Asset MGMT	Bloomington	114	$28.3 million	$76.8 million	adviserinfo.sec.gov
Hays Financial Group, LLC	Minneapolis	302	$28.1 million	$7.45 billion	adviserinfo.sec.gov
Total Wealth Advisors, LLC	Hopkins	42	$27.7 million	$107.2 million	adviserinfo.sec.gov
Caissa Wealth Strategies	Bloomington	58	$27.4 million	$297 million	adviserinfo.sec.gov
All Terrain Financial Advisors	Coon Rapids	92	$27.4 million	$379.2 million	adviserinfo.sec.gov
The Advocate Group, LLC	Minnetonka	124	$27.1 million	$809.9 million	adviserinfo.sec.gov
Abens Financial Services Inc	Edina	52	$25.2 million	$120.1 million	adviserinfo.sec.gov
Phillip James Financial Co.	Plymouth	54	$24.3 million	$222.1 million	adviserinfo.sec.gov
Navpoint Financial, Inc.	Prior Lake	41	$23.1 million	$752.2 million	adviserinfo.sec.gov
Yes Wealth Management	Mahtomedi	64	$22.6 million	$127.5 million	adviserinfo.sec.gov
Thomas Leo Advisory, LLC	Minneapolis	91	$21.7 million	$192.7 million	adviserinfo.sec.gov
Wold Financial Group	Mendota Heights	41	$20.7 million	$182.5 million	adviserinfo.sec.gov
Enspyre Wealth Advisors, Inc.	Woodbury	54	$20.4 million	$217.7 million	adviserinfo.sec.gov
Gary L. Greenberg	Eden Prairie	34	$20.3 million	$141.1 million	adviserinfo.sec.gov
DSG Capital Advisors, LLC	Edina	52	$20.3 million	$780.3 million	adviserinfo.sec.gov
Echo Wealth Management, LLC	Plymouth	67	$20.2 million	$288.2 million	adviserinfo.sec.gov
Laurel Wealth Planning	Edina	48	$19.2 million	$453.6 million	adviserinfo.sec.gov
Perkins Capital Management Inc	Wayzata	72	$19.1 million	$147.8 million	adviserinfo.sec.gov
Excelsior Investors	Excelsior	33	$18.1 million	$242 million	adviserinfo.sec.gov
Koob Wealth Management, LLC	White Bear Township	62	$16.6 million	$171.8 million	adviserinfo.sec.gov
Twele Capital Management, Inc.	Minnetonka	30	$16.2 million	$578.5 million	adviserinfo.sec.gov
GS Investment Inc	Eagan	42	$14.4 million	$192.2 million	adviserinfo.sec.gov
Speece Thorson Capital Group Inc	Minnetonka	3	$13 million	$469 million	adviserinfo.sec.gov
Advanced Advisor Group, LLC	Cambridge	58	$10.9 million	$10.9 million	adviserinfo.sec.gov
North American Wealth Advisors Inc.	Jordan	41	$9.4 million	$237.3 million	adviserinfo.sec.gov
Murphy Pohlad Asset Management LLC	Eden Prairie	24	$9 million	$639.7 million	adviserinfo.sec.gov
Legacies Wealth LLC	Minnetonka	32	$8.7 million	$505.4 million	adviserinfo.sec.gov
Paladin Capital	Arden Hills	18	$7.9 million	$10 million	adviserinfo.sec.gov
Somerset Group LLC	Wayzata	34	$7.5 million	$145.6 million	adviserinfo.sec.gov
Financial Empowerment LLC	Burnsville	27	$6.8 million	$126.4 million	adviserinfo.sec.gov
Jones Kertz & Associates, Inc.	Blaine	9	$6.2 million	$239.2 million	adviserinfo.sec.gov
White Pine Capital LLC	Bloomington	9	$6.1 million	$430.6 million	adviserinfo.sec.gov
Christensen Group Financial, LLC	Eden Prairie	25	$5.6 million	$24.8 million	adviserinfo.sec.gov
Perceptive Edge Investment Management, Inc.	Wayzata	62	$5.4 million	$505 million	adviserinfo.sec.gov
Epiq Partners, LLC	Minneapolis	20	$4.9 million	$290.9 million	adviserinfo.sec.gov
Flourish Wealth Management Inc.	Edina	9	$4.5 million	$455.2 million	adviserinfo.sec.gov
Bright Angel Advisors LLC	St. Paul	17	$4.2 million	$224.1 million	adviserinfo.sec.gov
Stairway Partners, LLC	Minneapolis	7	$3.8 million	$2.36 billion	adviserinfo.sec.gov
Summit Creek Advisors	Minneapolis	6	$1.4 million	$650.9 million	adviserinfo.sec.gov
Acm	Wayzata	8	$271,861	$231.2 million	adviserinfo.sec.gov
Vera Lake Capital, LLC	Edina	Fewer than 5	$185,645	$180.4 million	adviserinfo.sec.gov
Okabena Investment Services Inc	Minneapolis	Fewer than 5	$63	$2.12 billion	adviserinfo.sec.gov

Also on SpecStream

Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.