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EXCEL FINANCIAL, LLC
CRD 145301File 801-107211
APPROVED
Retail clients
Custody
Filing as of Aug 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$404.5M
Below cohort median (national)
Discretionary AUM
$348.4M
Non-discretionary $56.1M
Clients
416
1,128 accounts
Employees
11
Below cohort median in MN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 28, 2016
- Principal office
- 321 MAIN STREET, RED WING, MN, 55066
- Phone
- (651) 388-6441
- Website
- HTTP://WWW.EXCELFINLLC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $404.5M
- Discretionary AUM
- $348.4M
- Non-discretionary AUM
- $56.1M
- Discretionary accounts
- 1,090
- Non-discretionary accounts
- 38
- Total accounts
- 1,128
- AUM per client
- $972K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $212K |
| Charitable organizations | Fewer than 5 | $3.4M |
| High net worth individuals | 83 | $200.9M |
| Pension and profit sharing plans | 20 | $117.2M |
| Individuals (other than high net worth individuals) | 309 | $82.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jun 1, 2026 | Employees | 10 | 11 | increased by1 |
| Mar 1, 2026 | AUM | $404,464,713 | $404,464,714 | increased by$1 |
| Feb 1, 2026 | Employees | 6 | 10 | increased by4 |
| Feb 1, 2026 | Clients | 409 | 416 | increased by7 |
| Feb 1, 2026 | AUM | $333,483,495 | $404,464,713 | increased by$70,981,218 |
| Feb 1, 2026 | Accounts | 1,093 | 1,128 | increased by35 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 6 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 377 | 409 | increased by32 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $257,356,151 | $333,483,495 | increased by$76,127,344 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 936 | 1,093 | increased by157 |
| Mar 1, 2022 | Clients | 351 | 377 | increased by26 |
| Mar 1, 2022 | AUM | $214,677,026 | $257,356,151 | increased by$42,679,125 |
| Mar 1, 2022 | Accounts | 884 | 936 | increased by52 |
| Aug 1, 2021 | Employees | 6 | 7 | increased by1 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “EXCEL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“EXCEL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.