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CRD 167908
MINNEAPOLIS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRIAN JON KRUSE | n/a | MINNEAPOLIS, MN | 12 | 15 | 1 | no |
| ROBERT DEAN NELSON | n/a | MINNEAPOLIS, MN | 12 | 33 | 1 | no |
| BRENT TROY FIELD | Chartered Financial Analyst | MINNEAPOLIS, MN | 12 | 26 | n/a | no |
| DONWIN SYLVESTER BRAUN | n/a | MINNEAPOLIS, MN | 12 | 24 | n/a | no |
| ERIN ROBERT BERNS | n/a | MINNEAPOLIS, MN | Alexandria, MN | 9 | 12 | 1 | no |
| BRENT T PUTZ | n/a | MINNEAPOLIS, MN | 9 | 20 | 1 | no |
| SHAWN JAY JACOBSON | Certified Financial Planner|Chartered Financial Consultant | MINNEAPOLIS, MN | 9 | 34 | 1 | no |
| JED ROLAND MAGSTADT | n/a | MINNEAPOLIS, MN | 9 | 9 | 1 | no |
| Peter Joseph Hoff | n/a | Alexandria, MN | MINNEAPOLIS, MN | 9 | 10 | n/a | no |
| TODD ALAN MOSER | Certified Financial Planner | DEER PARK, IL | MINNEAPOLIS, MN | 7 | 23 | 1 | no |
| CHRISTOPHER WARREN JASPER | Certified Financial Planner | DEER PARK, IL | MINNEAPOLIS, MN | 7 | 23 | 1 | no |
| CHARLES F THALHEIMER | Certified Financial Planner | DEER PARK, IL | MINNEAPOLIS, MN | 7 | 20 | 2 | no |
| JOSHUA ROBERT GLORCH | n/a | MINNEAPOLIS, MN | DEER PARK, IL | 7 | 24 | 1 | no |
| BRIAN ROBERT BARRETT | Certified Financial Planner | DEER PARK, IL | MINNEAPOLIS, MN | 7 | 11 | n/a | no |
| KRISTIN KAY BILDEN | Certified Financial Planner | MINNEAPOLIS, MN | 5 | 27 | n/a | no |
| ELLIOT CARL EDWARD RISBRUDT | n/a | MINNEAPOLIS, MN | 5 | 14 | 1 | no |
| LORI SUZANNE O'CONNOR | Chartered Financial Analyst | MINNEAPOLIS, MN | 5 | 26 | n/a | no |
| RYAN MICHAEL PECKSKAMP | n/a | MINNEAPOLIS, MN | 4 | 16 | 2 | no |
| PAUL HILL | n/a | MINNEAPOLIS, MN | 4 | 10 | 1 | no |
| DYLAN HENNING SEUBERT | Certified Financial Planner | Appleton, WI | MINNEAPOLIS, MN | 4 | 16 | 3 | no |
| RACHEL EDITH SMITH | n/a | Appleton, WI | MINNEAPOLIS, MN | 4 | 13 | 3 | no |
| Ryan Scott Wirth | Chartered Financial Consultant | MINNEAPOLIS, MN | Appleton, WI | 4 | 10 | 1 | no |
| Jason Michael Mahn | n/a | MINNEAPOLIS, MN | Appleton, WI | 4 | 11 | 1 | no |
| JARED TAYLOR LORTS | n/a | MINNEAPOLIS, MN | 4 | 21 | 2 | no |
| KATHLEEN SWEENEY SHOEMAKER | n/a | MINNEAPOLIS, MN | 4 | 32 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NORTHROCK CREDIT ACCESS OPPORTUNITY I, LP | n/a | $74,913 | Jul 17, 2026 | 253 | Jul 17, 2026 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DuBrueler, James, Marshall | CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH | Na | yes | 03/2026 | Jul 17, 2026 | Jul 17, 2026 |
| FIELD, BRENT, TROY | CHIEF INVESTMENT OFFICER GROUP WEALTH | Na | yes | 10/2013 | Jul 17, 2026 | Jul 17, 2026 |
| MOSER, TODD, ALAN | MANAGING MEMBER | B | yes | 08/2019 | Jul 17, 2026 | Jul 17, 2026 |
| NELSON, ROBERT, DEAN | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | yes | 10/2013 | Jul 17, 2026 | Jul 17, 2026 |
| SHOEMAKER, KATHLEEN, SWEENEY | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Jul 17, 2026 | Jul 17, 2026 |
| Baenen, Sean, Berrigan | President | Na | yes | 10/2020 | Mar 30, 2021 | Jun 13, 2024 |
| BARDOT, ROBERT, K | CHIEF FINANCIAL OFFICER | Na | yes | 05/2022 | Dec 8, 2022 | Jun 13, 2024 |
| CARI, SAMUEL, B | CHIEF LEGAL OFFICER | Na | yes | 04/2022 | Apr 6, 2022 | Jun 13, 2024 |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | MANAGING MEMBER | D | yes | 12/2023 | Mar 14, 2024 | Jun 13, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| NORTHROCK PARTNERS TAX SERVICES, LLC | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| DEER PARK | IL | United States | 6 | no |
| SAN RAFAEL | CA | United States | 4 | no |
| SAN FRANCISCO | CA | United States | 3 | no |
| Appleton | Wi | United States | 3 | no |
| Alexandria | Mn | United States | 2 | no |
| Milwaukee | Wi | United States | 2 | no |
| Raleigh | Nc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $12B | $12B | 233 | 91 | 18 | 1 | n/a |
| 2024 | Feb 28, 2025 | $6.6B | $6.2B | 161 | 50 | 10 | 1 | n/a |
| 2023 | Mar 14, 2024 | $5.8B | $5.4B | 154 | 39 | 8 | n/a | n/a |
| 2022 | Mar 30, 2023 | $4.2B | $4.0B | 131 | 27 | 4 | n/a | n/a |
| 2021 | Mar 25, 2022 | $4.2B | $3.9B | 143 | 28 | 5 | n/a | n/a |
| 2020 | Mar 30, 2021 | $3.3B | $3.1B | 101 | 21 | 3 | n/a | n/a |
| 2019 | Mar 26, 2020 | $2.8B | $2.7B | 66 | 18 | 4 | n/a | n/a |
| 2018 | Mar 21, 2019 | $1.3B | $1.2B | 42 | 14 | 2 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.2B | $1.1B | 35 | 14 | 2 | n/a | n/a |
| 2016 | Mar 27, 2017 | $982M | $937M | 35 | 8 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $1.0B | $888M | 30 | 9 | n/a | n/a | n/a |
| 2014 | Mar 20, 2015 | $1.0B | $977M | 27 | 9 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $837M | $836M | 25 | 7 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 24 | 2 | 22 | 2.2% | 1 | 0 | 0 | 55 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $12B | $6.6B | 84.7% | $4.2B | 42.7% | 233 | 161 | 24 | 10 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| VANTAGE FINANCIAL PARTNERS, LLC | 2 | Apr 29, 2026 | May 29, 2026 | COLUMBUS, OH | Team lift out | RIA to RIA | 22.2% |
| VANTAGE FINANCIAL PARTNERS, LLC | 6 | Apr 29, 2026 | Apr 3, 2026 | ELM GROVE, WI | Firm absorbed | RIA to RIA | 66.7% |
| VANTAGE FINANCIAL PARTNERS, LLC | 2 | Apr 10, 2026 | Apr 14, 2026 | HURON, SD | Team lift out | RIA to RIA | 16.7% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 3 | Jan 28, 2026 | Jan 23, 2026 | MORRIS, IL | Team lift out | Ibd to RIA | 0.0% |
| PARKSIDE ADVISORS LLC | 4 | Jul 17, 2025 | Jul 1, 2025 | SAN FRANCISCO, CA | Firm absorbed | RIA to RIA | 100.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 18 | Jul 14, 2025 | Apr 6, 2026 | ROSEVILLE, CA | Team lift out | Ibd to RIA | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Jul 11, 2025 | Jul 11, 2025 | CARSON CITY, NV | Team lift out | Ibd to RIA | 0.0% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 7 | Oct 31, 2023 | Oct 27, 2023 | SAN FRANCISCO, CA | Team lift out | Ibd to RIA | 0.1% |
| RBC CAPITAL MARKETS, LLC | 4 | Feb 18, 2022 | Feb 4, 2022 | APPLETON, WI | Team lift out | Ibd to RIA | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 7 | Aug 12, 2019 | Aug 12, 2019 | BARRINGTON, IL | Team lift out | Ibd to RIA | 0.1% |