Data / Investment advisers / Minnesota / Split Rock Private Trading and Wealth Management LLC
Split Rock Private Trading and Wealth Management LLC, Cloquet, MN: $356 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Split Rock Private Trading and Wealth Management LLC is an SEC registered investment adviser with its main office in Cloquet, Minnesota and reports $356 million in regulatory assets under management in its Form ADV filed April 20, 2026. Its clients include individuals, high net worth individuals and investment companies. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 152003
- SEC file number
- 801-119587
- SEC status
- Approved, effective October 9, 2020
- Main office
- 105 Arch St, Cloquet, MN 55720
- Phone
- (218) 879-3262
- Website
- splitrocktrading.com
- Regulatory AUM
- $356,141,386 in the Form ADV filed April 20, 2026
- Discretionary AUM
- $348,798,146
- Non discretionary AUM
- $7,343,240
- Accounts
- 2,084
- Employees
- 6, of which 5 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- April 20, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 596 | $165.5 million |
| High net worth individuals | 401 | $129.6 million |
| Investment companies | 1 | $53.7 million |
| Pension and profit sharing plans | Fewer than 5 | $7.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| February 2, 2026 | $356.1 million | January 21, 2026 |
| December 1, 2025 | $308.7 million | September 17, 2025 |
Other advisers in Minnesota
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Dorval & Chorne Financial Advisors | Maple Grove | $373.9 million | Not listed | adviserinfo.sec.gov |
| Tealwood Asset Management | Minneapolis | $365.4 million | Not listed | adviserinfo.sec.gov |
| India Capital LLC | Minneapolis | $365.3 million | 1 | adviserinfo.sec.gov |
| Cordis Financial, LLC | Minneapolis | $360.7 million | Not listed | adviserinfo.sec.gov |
| Cloverfields Capital Group, LP | Minneapolis | $358.7 million | Not listed | adviserinfo.sec.gov |
| Fpnavigators | Maple Grove | $355.1 million | Not listed | adviserinfo.sec.gov |
| Fortress Financial Group, LLC | Rochester | $352.3 million | Not listed | adviserinfo.sec.gov |
| Lfa | St. Cloud | $351.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Minnesota
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Split Rock Private Trading and Wealth Management LLC on the SEC's adviser search
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.