← Directory
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD 152003File 801-119587
APPROVED
Retail clients
Filing as of Apr 20, 2026
Feed vintage Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.