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SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD 152003File 801-119587
APPROVED
Retail clients
Filing as of Apr 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$356.1M
Below cohort median (national)
Discretionary AUM
$348.8M
Non-discretionary $7.3M
Clients
998
2,084 accounts
Employees
6
Below cohort median in MN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Oct 9, 2020
- Principal office
- 105 ARCH ST, CLOQUET, MN, 55720
- Phone
- (218) 879-3262
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $356.1M
- Discretionary AUM
- $348.8M
- Non-discretionary AUM
- $7.3M
- Discretionary accounts
- 2,056
- Non-discretionary accounts
- 28
- Total accounts
- 2,084
- AUM per client
- $357K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 1 | $53.7M |
| High net worth individuals | 401 | $129.6M |
| Pension and profit sharing plans | Fewer than 5 | $7.3M |
| Individuals (other than high net worth individuals) | 596 | $165.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- 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
- No
- 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 |
|---|---|---|---|---|
| Feb 1, 2026 | Clients | 956 | 998 | increased by42 |
| Feb 1, 2026 | AUM | $308,706,394 | $356,141,386 | increased by$47,434,992 |
| Feb 1, 2026 | Accounts | 1,898 | 2,084 | increased by186 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 6 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 770 | 956 | increased by186 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $163,817,354 | $308,706,394 | increased by$144,889,040 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,300 | 1,898 | increased by598 |
| Mar 1, 2022 | Employees | 5 | 7 | increased by2 |
| Mar 1, 2022 | Custody | Yes | No | |
| Mar 1, 2022 | Clients | 736 | 770 | increased by34 |
| Mar 1, 2022 | AUM | $137,210,000 | $163,817,354 | increased by$26,607,354 |
| Mar 1, 2022 | Accounts | 1,225 | 1,300 | increased by75 |
| Jul 1, 2021 | Employees | 4 | 5 | increased by1 |
| Jun 1, 2021 | Clients | 725 | 736 | increased by11 |
| Jun 1, 2021 | AUM | $131,430,000 | $137,210,000 | increased by$5,780,000 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SPLIT ROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPLIT ROCK” 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.