DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
360 Financial
Legal name 360 Financial, Inc.
Latest filing May 12, 2026
First filing on the tape Aug 2, 2013 · 43 filings
SEC status approved since Aug 30, 2013
RAUM
$701M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
88%
$615M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$701M as of May 12, 2026
Mar 4, 2014$103M then
HNW client RAUM$464M as of May 12, 2026
Mar 8, 2018$119M then
State-registered IARs (5.B.3)10 as of May 12, 2026
Mar 4, 20144 then
Employees (5.A)16 as of May 12, 2026
Mar 4, 20147 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 5 to 10
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $70.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $336,958derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +45%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $52.2M, 106 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$464M66%
- Individuals$151M22%
- Corporations and businesses$79.1M11%
- Charitable organizations$4.8M0.7%
- Pension and profit-sharing plans$1.7M0.2%
- Individual clients
- 756reported
- HNW clients
- 421reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 2,079reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.2M for 106 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Arden Whitnah | Wayzata, Mn | Aug 30, 2013 | 46 y | 3 |
| Michael Anthony Rogers | Wayzata, Mn | Aug 30, 2013 | 36 y | 0 |
| Daniel James MahoneyCertified Financial Planner | Wayzata, Mn | Jul 28, 2014 | 41 y | 1 |
| Brian D Bohnsack | Elk River, Mn | Oct 4, 2022 | 22 y | 1 |
| Michael Joel UrchCertified Financial Planner | Wayzata, Mn | May 22, 2023 | 12 y | 3 |
| William Edward GrantCertified Financial Planner | Wayzata, Mn | Aug 16, 2023 | 13 y | 3 |
| Joseph Leonard RapackiPersonal Financial Specialist | Wayzata, Mn | Aug 16, 2023 | 28 y | 2 |
| Danielle Renee CainCertified Financial Planner | Wayzata, Mn | May 16, 2024 | 21 y | 0 |
| Mitchell Dennis Zweber | Wayzata, Mn | Oct 3, 2024 | 11 y | 2 |
| Grant Robert Dressen | Wayzata, Mn | May 12, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Ryan Trebil to Mairs & PowerJul 2, 2024 · RIA to RIA
- Lauren Ann Brown to Fiat Wealth ManagementAug 16, 2023 · RIA to RIA
- Nicholas John Andresen to LPL Financial LLCMar 29, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Grant Robert Dressen from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 12, 2026 · Wirehouse to independent RIA
- Mitchell Dennis Zweber from Wells Fargo AdvisorsOct 3, 2024 · Wirehouse to independent RIA
- Joseph Leonard Rapacki from Fidere AdvisorsAug 16, 2023 · Other
- William Edward Grant from Northcoast Asset Management LLCAug 16, 2023 · RIA to RIA
- Michael Joel Urch from Brown Wealth Management, LLCMay 22, 2023 · RIA to RIA
- Lauren Ann Brown from LPL Financial LLCAug 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- Nicholas John Andresen from Cliftonlarsonallen Wealth Advisors, LLCJan 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- Daniel James Mahoney from UBS Financial Services Inc.Jul 28, 2014 · Other
- Thomas Arden Whitnah from Morgan StanleyAug 30, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Michael Rogers · Chief Compliance Officer And Presidentcontrolsince 10/1995 · owns 75% or more
Related persons
Schedule D 7.A
- Rapacki And Co Cpasinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wayzata, Mn · principal | 10 | 1 | 0 | ||
| Elk River, Mn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Elk River, MN2 employees
- Edina, MN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 11, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 9.0 (+80.0%) between the annual amendments of 2025-03-20 and 2026-03-11; the peer median change was 0.0% (795 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 10Mar 11, 2026 to May 12, 2026
- BD registered reps · 8 to 9Mar 11, 2026 to May 12, 2026
- Employees · 15 to 16Mar 11, 2026 to May 12, 2026
- State-registered IARs · 9 to 10Mar 11, 2026 to May 12, 2026
- Accounts · 1,940 to 2,079Mar 20, 2025 to Mar 11, 2026
- Advisory employees · 5 to 9Mar 20, 2025 to Mar 11, 2026
- Advisory activities · 6 to 5Mar 20, 2025 to Mar 11, 2026
- BD registered reps · 7 to 8Mar 20, 2025 to Mar 11, 2026
- Corporate clients · 18 to 25Mar 20, 2025 to Mar 11, 2026
- HNW clients · 126 to 421Mar 20, 2025 to Mar 11, 2026
- Individual clients · 683 to 756Mar 20, 2025 to Mar 11, 2026
- Pension plan clients · 2 to 1Mar 20, 2025 to Mar 11, 2026
- Employees · 14 to 15Mar 20, 2025 to Mar 11, 2026
- Financial planning clients · 101-250 to 251-500Mar 20, 2025 to Mar 11, 2026
- State-registered IARs · 5 to 9Mar 20, 2025 to Mar 11, 2026
- Discretionary RAUM · $512M to $636MMar 20, 2025 to Mar 11, 2026
- HNW RAUM · $307M to $464MMar 20, 2025 to Mar 11, 2026
- Individual RAUM · $197M to $151MMar 20, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $56.0M to $64.1MMar 20, 2025 to Mar 11, 2026
- Pension RAUM · $2.6M to $1.7MMar 20, 2025 to Mar 11, 2026
- RAUM · $568M to $701MMar 20, 2025 to Mar 11, 2026
- Accounts · 1,771 to 1,940Oct 3, 2024 to Mar 20, 2025
- Advisory employees · 8 to 5Oct 3, 2024 to Mar 20, 2025
- BD registered reps · 8 to 7Oct 3, 2024 to Mar 20, 2025
- Charity clients · unset to 3.0Oct 3, 2024 to Mar 20, 2025
- Corporate clients · 9 to 18Oct 3, 2024 to Mar 20, 2025
- HNW clients · 95 to 126Oct 3, 2024 to Mar 20, 2025
- Individual clients · 655 to 683Oct 3, 2024 to Mar 20, 2025
- Pension plan clients · 5 to 2Oct 3, 2024 to Mar 20, 2025
- Assets in custody · $38.6M to $52.2MOct 3, 2024 to Mar 20, 2025
- Employees · 18 to 14Oct 3, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Oct 3, 2024 to Mar 20, 2025
- State-registered IARs · 8 to 5Oct 3, 2024 to Mar 20, 2025
- Discretionary RAUM · $438M to $512MOct 3, 2024 to Mar 20, 2025
- HNW RAUM · $234M to $307MOct 3, 2024 to Mar 20, 2025
- Individual RAUM · $195M to $197MOct 3, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $37.9M to $56.0MOct 3, 2024 to Mar 20, 2025
- Pension RAUM · $38.5M to $2.6MOct 3, 2024 to Mar 20, 2025
- RAUM · $475M to $568MOct 3, 2024 to Mar 20, 2025
- Advisory employees · 7 to 8Jul 30, 2024 to Oct 3, 2024
Signals
4 dated events
- Ryan Trebil left 360 Financial for Mairs & Power (registered 2025-01-08)Jul 2, 2024 · Advisor changed firm · fact
- Lauren Ann Brown left 360 Financial for Fiat Wealth Management (registered 2024-02-16)Aug 16, 2023 · Advisor changed firm · fact
- Nicholas John Andresen left 360 Financial for Lpl Financial Llc (registered 2025-04-30)Mar 29, 2023 · Advisor changed firm · fact
- 360 Financial filed its initial SEC registration (Form ADV)Aug 2, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@360financial.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 763-241-0841reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 763-241-1039reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-300-8018reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/360-FINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- 360FINANCIAL.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-542-8900reportedpublic record, Form ADV, May 12, 2026
- Contact form
- 360financial.net/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 360financial.net/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026