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CRD 152665
ARDEN HILLS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-03 (filing); first seen by DFX 2026-09-15.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ROGER A. LONG | n/a | ARDEN HILLS, MN | Overland Park, KS | 15 | 21 | 1 | no |
| MICHAEL CHARLES DAILEY | n/a | ARDEN HILLS, MN | TRUMBULL, CT | 14 | 37 | n/a | no |
| MICHAEL DAVID KERBY | n/a | ARDEN HILLS, MN | Warsaw, MO | SPRINGFIELD, MO | 13 | 21 | n/a | no |
| MICHAEL ANTHONY MOYLAN | n/a | ARDEN HILLS, MN | MOKENA, IL | 13 | 31 | 1 | no |
| LAURENCE ARNOLD BOWERS | n/a | FORT COLLINS, CO | ARDEN HILLS, MN | 13 | 24 | 1 | no |
| BRIAN KEITH WOLFE | Chartered Financial Consultant | ARDEN HILLS, MN | Fairview Heights, IL | Edwardsville, IL | 12 | 13 | n/a | no |
| BRIAN REILLY PLAIN | Certified Financial Planner | La Grange, IL | ARDEN HILLS, MN | 11 | 21 | 5 | no |
| CATHERINE ANN PETERS | n/a | ARDEN HILLS, MN | Arden Hills, MN | 11 | 35 | 1 | yes |
| STEVEN LEE HOHENWARTER | n/a | ARDEN HILLS, MN | LANCASTER, PA | 11 | 22 | n/a | no |
| Stephen Jordan Walton | n/a | ARDEN HILLS, MN | Mechanicsville, VA | 10 | 11 | n/a | no |
| LARRY Dean HENDERSON | n/a | Pueblo, CO | Colorado Springs, CO | ARDEN HILLS, MN | 10 | 16 | n/a | no |
| Mark Edward Jensen | n/a | ARDEN HILLS, MN | Sandpoint, ID | 9 | 13 | n/a | no |
| William Christopher Hollingsworth | n/a | ARDEN HILLS, MN | Carthage, MS | 9 | 20 | n/a | no |
| Lyndol Hoy Anderson | Chartered Financial Consultant | ARDEN HILLS, MN | Cleburne, TX | 9 | 30 | n/a | no |
| Bonnie Sue Clark | n/a | ARDEN HILLS, MN | Surprise, AZ | 9 | 11 | 1 | no |
| CAROL YVONNE RANSOM Sutterfield | n/a | ARDEN HILLS, MN | Fort Smith, AR | 9 | 25 | 4 | no |
| Bradley Clifton Freels | n/a | Oklahoma City, OK | ARDEN HILLS, MN | 9 | 14 | n/a | no |
| Patrick S Purcell | n/a | ARDEN HILLS, MN | The Woodlands, TX | Humble, TX | 9 | 22 | n/a | no |
| Patrick Jason Guerin | n/a | Shoreview, MN | ARDEN HILLS, MN | 9 | 15 | n/a | no |
| PAUL JOHN KOZAK | n/a | ARDEN HILLS, MN | Fremont, OH | 9 | 31 | 1 | no |
| JAMES WILLIAM CUMMINGS | n/a | Topeka, KS | ARDEN HILLS, MN | 9 | 23 | 1 | no |
| TRAVIS Michael SHERMAN | n/a | Hoover, AL | Pelham, AL | ARDEN HILLS, MN | 9 | 25 | 2 | no |
| Larry John Mahoney | Certified Financial Planner | ARDEN HILLS, MN | Stafford, TX | 9 | 39 | 3 | no |
| CARSON JEROME GRAVES | n/a | Arlington, TX | ARDEN HILLS, MN | 8 | 24 | 1 | no |
| Timothy Kevin Kaley | n/a | ARDEN HILLS, MN | Bloomington, MN | 8 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHARLES E. LUCIUS REVOCABLE TRUST | Member | E | yes | 03/2022 | Mar 31, 2022 | May 20, 2024 |
| ESTALL, ADAM, Keith | PRESIDENT/ ELECTED MANAGER | Na | yes | 01/2017 | Mar 30, 2017 | May 20, 2024 |
| PETERS, CATHERINE, ANN | CHIEF COMPLIANCE OFFICER | Na | no | 12/2014 | Dec 23, 2014 | May 20, 2024 |
| 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 SECURITIES, LLC | n/a | Bd affiliated wealth | $608M | N | yes | n/a |
| ASCENTIUM INSURANCE SOLUTIONS, LLC | n/a | n/a | n/a | N | yes | n/a |
| CORE INCOME SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| GRADIENT ASSURANCE, LLC | n/a | n/a | n/a | N | yes | n/a |
| GRADIENT FINANCIAL GROUP, LLC | n/a | n/a | n/a | N | yes | n/a |
| GRADIENT INSURANCE BROKERAGE, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Gilbert | Az | United States | 2 | no |
| Pueblo | Co | United States | 2 | no |
| Brighton | Mi | United States | 2 | no |
| Davison | Mi | United States | 2 | no |
| KANSAS CITY | Mo | United States | 2 | no |
| Greensboro | Nc | United States | 2 | no |
| Salisbury | Nc | United States | 2 | no |
| BULLHEAD CITY | Az | United States | 1 | no |
| LAGUNA NIGUEL | CA | United States | 1 | no |
| THE VILLAGES | FL | United States | 1 | no |
| Macon | Ga | United States | 1 | no |
| CLEAR LAKE | Ia | United States | 1 | no |
| Sandpoint | Id | United States | 1 | no |
| FAIRVIEW HEIGHTS | IL | United States | 1 | no |
| Mokena | IL | United States | 1 | no |
| Schaumburg | IL | United States | 1 | no |
| Bloomington | Mn | United States | 1 | no |
| Warsaw | Mo | United States | 1 | no |
| WEST FARGO | Nd | United States | 1 | no |
| Knoxville | Tn | United States | 1 | no |
| SAN ANTONIO | TX | United States | 1 | no |
| Webster | TX | United States | 1 | no |
| Chesapeake | Va | United States | 1 | no |
| Mechanicsville | Va | United States | 1 | no |
| Roanoke | Va | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $289M | $0 | 173 | 166 | 165 | n/a | n/a |
| 2024 | Apr 25, 2025 | $219M | $0 | 169 | 169 | 153 | n/a | n/a |
| 2023 | Mar 29, 2024 | $207M | $207M | 157 | 152 | 129 | n/a | n/a |
| 2022 | Mar 30, 2023 | $177M | $177M | 142 | 137 | 129 | n/a | n/a |
| 2021 | Mar 31, 2022 | $177M | $177M | 128 | 121 | 118 | n/a | n/a |
| 2020 | Mar 30, 2021 | $121M | $121M | 112 | 103 | 99 | n/a | n/a |
| 2019 | Mar 31, 2020 | $100M | $100M | 90 | 79 | 79 | n/a | n/a |
| 2018 | Mar 29, 2019 | $47.4M | $47.4M | 90 | 79 | 78 | n/a | n/a |
| 2017 | Mar 21, 2018 | $36.4M | $36.4M | 92 | 82 | 77 | n/a | n/a |
| 2016 | Mar 30, 2017 | $42.1M | $42.1M | 73 | 69 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $26.3M | $26.3M | 70 | 65 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $21.9M | $21.9M | 90 | 85 | n/a | n/a | n/a |
| 2013 | Feb 4, 2014 | $131,243 | $0 | 92 | 80 | n/a | n/a | n/a |
| 2012 | Feb 6, 2013 | $553,896 | $0 | 65 | 55 | n/a | n/a | n/a |
| 2011 | Feb 10, 2012 | $1.1M | $0 | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 20 | 25 | -5 | 13.6% | 5 | 4 | 0 | 80 | 71 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $289M | $219M | 32.3% | $177M | 17.8% | 173 | 169 | 165 | 153 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RELIANCE ASSET MANAGEMENT LLC | 2 | Aug 3, 2026 | May 27, 2026 | DAVISON, MI | Team lift out | RIA to state RIA | 1.1% |
| GRADIENT INVESTMENTS, LLC | 2 | Dec 18, 2025 | Aug 11, 2026 | SHOREVIEW, MN | Team lift out | RIA to RIA | 1.2% |
| GRADIENT INVESTMENTS, LLC | 2 | Jun 19, 2025 | May 13, 2025 | ARDEN HILLS, MN | Team lift out | RIA to RIA | 1.2% |
| A5 FINANCIAL LLC | 2 | Apr 15, 2025 | Mar 25, 2025 | BOTHELL, WA | Team lift out | RIA to state RIA | 1.2% |
| SIMPLE FINANCIAL, LLC | 5 | Dec 31, 2022 | Mar 27, 2023 | ARDEN HILLS, MN | Team lift out | RIA to state RIA | 4.2% |
| CREATIVEONE WEALTH, LLC | 2 | Oct 9, 2018 | Oct 15, 2018 | ARDEN HILLS, MN | Team lift out | RIA to RIA | 3.1% |
| STRATEGIC WEALTH ADVISORS GROUP, INC. | 2 | Dec 31, 2016 | Jan 9, 2017 | ARDEN HILLS, MN | Team lift out | Other | 4.3% |
| PROVISION ASSET, LLC | 2 | Jan 18, 2016 | May 5, 2016 | ARDEN HILLS, MN | Team lift out | Other | 5.4% |
| GRADIENT WEALTH MANAGEMENT | 2 | Mar 18, 2015 | Apr 16, 2015 | OAKDALE, ME | Team lift out | Other | 3.8% |
| GRADIENT WEALTH MANAGEMENT | 16 | Feb 24, 2015 | May 4, 2015 | ARDEN HILLS, MN | Team lift out | Other | 25.4% |
| GRADIENT WEALTH MANAGEMENT | 8 | Jan 23, 2015 | Feb 13, 2015 | ARDEN HILLS, MN | Team lift out | Other | 11.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NEW FRONTIER WEALTH MANAGEMENT | 2 | Jun 26, 2026 | Jul 1, 2026 | ENGLEWOOD, CO | Team lift out | Other | 66.7% |
| AE WEALTH MANAGEMENT, LLC | 2 | Jul 9, 2024 | Jul 31, 2024 | NAPERVILLE, IL | Team lift out | RIA to RIA | 0.5% |
| CAPITAL ANALYSTS | 2 | Aug 12, 2020 | Aug 21, 2020 | WEST JORDAN, UT | Team lift out | Ibd to RIA | 0.4% |
| USA FINANCIAL SECURITIES LLC | 2 | Apr 1, 2020 | Apr 1, 2020 | ADA, MI | Team lift out | RIA to RIA | 1.4% |
| COPPELL ADVISORY SOLUTIONS LLC | 2 | Jan 27, 2020 | Oct 31, 2019 | BRIGHTON, MI | Team lift out | RIA to RIA | 6.3% |