This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0

Regulatory AUM

$120MItem 5.F on the latest filing (2026-04-23); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$120M

Private client RAUM

$120MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$120Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

3

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

389

Individual clients

122

High net worth clients

33

SEC number

801-135880

CRD

290962

Filings on the tape

12

First filed

Mar 29, 2022

Latest filed

Apr 23, 2026

Organised

Corporation, MN

• Occurred

  Feb 8, 2023
  Advisor changed firm

  Theodore James Erhart left Trott Brook Financial for The Fiduciary Alliance (registered 2023-02-07)

  Form ADVobserved 4 days ago
• Occurred

  Mar 29, 2022
  First Form ADV filing

  Trott Brook Financial filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:37d1245a-9d88-d9be-d3a9-e9416a014e4c

First observed

Mar 29, 2022

Last observed

Apr 23, 2026 4 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.