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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NICOLLET INVESTMENT MANAGEMENT, INC.

CRD 109401

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:42056027-de9f-4ac6-93cf-cc965995a080

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Mar 12, 2012 to May 4, 2026
32 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $557MItem 5.F on the latest filing (2026-05-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $557M
Private client RAUM: $553MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $92.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 860
Individual clients: 126
High net worth clients: 171
SEC number: 801-57282
CRD: 109401
Filings on the tape: 32
First filed: Mar 12, 2012
Latest filed: May 4, 2026
Organised: Corporation, MN
Website: nicolletinvest.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
NICHOLAS KENDALL HEYER	n/a	MINNEAPOLIS, MN	12	23	n/a	no
MARC CHRISTOPHER HADLEY	Certified Financial Planner	MINNEAPOLIS, MN	9	40	1	no
TIMOTHY SHANNON FAHEY	n/a	MINNEAPOLIS, MN	7	31	n/a	no
NATHAN R TRAVIS	n/a	MINNEAPOLIS, MN	6	13	1	no
SUSAN JALICS BECKER	Chartered Financial Analyst	MINNEAPOLIS, MN	4	16	n/a	no
Naveen Paul Sharma	Certified Financial Planner	MINNEAPOLIS, MN	2	33	5	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARLSON, KATHY, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	08/2023	Mar 12, 2012	Jun 26, 2024
HOONSBEEN, MARK, CONRAD	PRESIDENT, SECRETARY, DIRECTOR	E	yes	12/1999	Mar 12, 2012	Jun 26, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$557M	$557M	9	6	0	n/a	n/a
2024	Apr 16, 2025	$533M	$533M	8	7	0	n/a	n/a
2023	Feb 15, 2024	$464M	$464M	8	5	0	n/a	n/a
2022	Mar 6, 2023	$384M	$384M	9	5	0	n/a	n/a
2021	Feb 15, 2022	$447M	$447M	9	4	0	n/a	n/a
2020	Mar 8, 2021	$394M	$394M	9	4	0	n/a	n/a
2019	Mar 13, 2020	$327M	$327M	8	4	0	n/a	n/a
2018	Mar 13, 2019	$260M	$260M	7	4	0	n/a	n/a
2017	Mar 22, 2018	$233M	$233M	7	3	0	n/a	n/a
2016	Mar 30, 2017	$182M	$182M	7	3	n/a	n/a	n/a
2015	Mar 15, 2016	$183M	$183M	5	3	n/a	n/a	n/a
2014	Mar 19, 2015	$186M	$186M	5	3	n/a	n/a	n/a
2013	Mar 19, 2014	$202M	$202M	5	3	n/a	n/a	n/a
2012	Mar 22, 2013	$166M	$166M	5	3	n/a	n/a	n/a
2011	Mar 12, 2012	$149M	$149M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$557M	$533M	4.7%	$384M	13.2%	9	8	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WILKERSON RESOURCE ADVISORS	2	Apr 7, 2017	Apr 18, 2017	SAINT PAUL, MN	Team lift out	Other	100.0%

Relationships

Registered with (8)

← Naveen Paul SharmaAdvisorregistration: current employment
Jun 26, 2024 to presentfactForm ADV
← SUSAN JALICS BECKERAdvisorregistration: current employment
Nov 9, 2021 to presentfactForm ADV
← NATHAN R TRAVISAdvisorregistration: current employment
Nov 21, 2019 to presentfactForm ADV
← TIMOTHY SHANNON FAHEYAdvisorregistration: current employment
Nov 13, 2018 to presentfactForm ADV
← MARC CHRISTOPHER HADLEYAdvisorregistration: current employment
Apr 18, 2017 to presentfactForm ADV
← NICHOLAS KENDALL HEYERAdvisorregistration: current employment
Jan 21, 2014 to presentfactForm ADV
← CASEY SCOTT HAYDENAdvisorregistration: previous registration
Jun 7, 2022 to Aug 9, 2023factForm ADV
← Shannon Lea ClarkAdvisorregistration: previous registration
Apr 18, 2017 to Jun 30, 2021factForm ADV

Controls (2)

← HOONSBEEN, MARK, CONRADOwnerPRESIDENT, SECRETARY, DIRECTOR, ownership code E, individual
Mar 12, 2012 to Jun 26, 2024factForm ADV
← CARLSON, KATHY, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2012 to Jun 26, 2024factForm ADV

Dated events

Occurred
Aug 9, 2023
Control person joined
Ann Kathy Carlson (Chief Compliance Officer) appeared on Schedule A of Nicollet Investment Management, Inc.
Form ADVobserved 5 days ago
Occurred
Aug 9, 2023
Advisor changed firm
Casey Scott Hayden left Nicollet Investment Management, Inc. for The Life Group Financial Services (registered 2023-09-05)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42056027-de9f-4ac6-93cf-cc965995a080
First observed: Mar 12, 2012
Last observed: May 4, 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.

NICOLLET INVESTMENT MANAGEMENT, INC.

CRD 109401

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:42056027-de9f-4ac6-93cf-cc965995a080

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

NICHOLAS KENDALL HEYER

n/a

MINNEAPOLIS, MN

n/a

MARC CHRISTOPHER HADLEY

Certified Financial Planner

MINNEAPOLIS, MN

TIMOTHY SHANNON FAHEY

n/a

MINNEAPOLIS, MN

n/a

NATHAN R TRAVIS

n/a

MINNEAPOLIS, MN

SUSAN JALICS BECKER

Chartered Financial Analyst

MINNEAPOLIS, MN

n/a

Naveen Paul Sharma

Certified Financial Planner

MINNEAPOLIS, MN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, KATHY, ANN

CHIEF COMPLIANCE OFFICER

yes

08/2023

Mar 12, 2012

Jun 26, 2024

HOONSBEEN, MARK, CONRAD

PRESIDENT, SECRETARY, DIRECTOR

yes

12/1999

Mar 12, 2012

Jun 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$557M

n/a

2024

Apr 16, 2025

$533M

n/a

2023

Feb 15, 2024

$464M

n/a

2022

Mar 6, 2023

$384M

n/a

2021

Feb 15, 2022

$447M

n/a

2020

Mar 8, 2021

$394M

n/a

2019

Mar 13, 2020

$327M

n/a

2018

Mar 13, 2019

$260M

n/a

2017

Mar 22, 2018

$233M

n/a

2016

Mar 30, 2017

$182M

n/a

2015

Mar 15, 2016

$183M

n/a

2014

Mar 19, 2015

$186M

n/a

2013

Mar 19, 2014

$202M

n/a

2012

Mar 22, 2013

$166M

n/a

2011

Mar 12, 2012

$149M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$557M

$533M

4.7%

$384M

13.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WILKERSON RESOURCE ADVISORS

Apr 7, 2017

Apr 18, 2017

SAINT PAUL, MN

Team lift out

Other

100.0%