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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

GRADIENT FINANCIAL DIRECT, LLC

CRD 293240

ARDEN HILLS, 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:7befaa94-b93b-c2b2-9b23-f66078c557e6

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 20, 2018 to Mar 12, 2019
12 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 4
High net worth clients: 0
SEC number: 801-112674
CRD: 293240
Filings on the tape: 12
First filed: Feb 20, 2018
Latest filed: Mar 12, 2019
Organised: Limited Liability Company, Delaware

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
JENSEN, KARL, DAVID	CHIEF COMPLIANCE OFFICER	Na	yes	06/2018	Feb 20, 2018	Mar 12, 2019
LUCIUS, CHARLES, EDWARD	Owner	E	yes	12/2017	Feb 20, 2018	Mar 12, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GRADIENT INVESTMENTS, LLC	n/a	Independent wealth	$8.8B	N	yes	n/a
GRADIENT INSURANCE BROKERAGE, LLC	n/a	n/a	n/a	N	yes	n/a
GRADIENT INSURANCE MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 12, 2019	n/a	n/a	1	1	0	n/a	n/a

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
2018	n/a	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Affiliated with (1)

→ GRADIENT INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← LUCIUS, CHARLES, EDWARDOwnerOWNER, ownership code E, individual
Feb 20, 2018 to presentfactForm ADV
← JENSEN, KARL, DAVIDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 20, 2018 to presentfactForm ADV

Registered with (1)

← Karl JensenAdvisorregistration: previous registration
Mar 26, 2018 to Nov 1, 2019factForm ADV

Dated events

Occurred
Sep 25, 2018
Succession filed (Item 4)
Gradient Financial Direct, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Feb 20, 2018
First Form ADV filing
Gradient Financial Direct, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7befaa94-b93b-c2b2-9b23-f66078c557e6
First observed: Feb 20, 2018
Last observed: Mar 12, 2019 91 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.

GRADIENT FINANCIAL DIRECT, LLC

CRD 293240

ARDEN HILLS, 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:7befaa94-b93b-c2b2-9b23-f66078c557e6

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JENSEN, KARL, DAVID

CHIEF COMPLIANCE OFFICER

yes

06/2018

Feb 20, 2018

Mar 12, 2019

LUCIUS, CHARLES, EDWARD

Owner

yes

12/2017

Feb 20, 2018

Mar 12, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GRADIENT INVESTMENTS, LLC

n/a

Independent wealth

$8.8B

yes

n/a

GRADIENT INSURANCE BROKERAGE, LLC

n/a

yes

n/a

GRADIENT INSURANCE MANAGEMENT, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 12, 2019

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

n/a