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.
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SEC-registered adviser
T•••• B•••• F••••••••
Legal name T•••• B•••• F••••••••• I•••
Latest filing Apr 23, 2026
First filing on the tape Mar 29, 2022 · 12 filings
SEC status approved since Apr 17, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$120M as of Apr 23, 2026
Feb 8, 2023$97.4M then
HNW client RAUM$50.0M as of Apr 23, 2026
Feb 8, 2023$34.1M then
State-registered IARs (5.B.3)1 as of Apr 23, 2026
Feb 8, 20231 then
Employees (5.A)3 as of Apr 23, 2026
Feb 8, 20232 then
Private funds: no history
RAUM n/a over the last fiscal year+7.3% a year over three
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 155derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $309,681derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$70.5M59%
- High-net-worth individuals$50.0M41%
- Individual clients
- 122reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 389reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W••••• S••••••Certified Financial Planner | Anoka, Mn | Feb 15, 2018 | 35 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T••••••• J•••• E••••• to T•• F•••••••• A•••••••Feb 8, 2023 · RIA to RIA
Joined, latest
- T••••••• J•••• E••••• from L•• F•••••••• L••Feb 16, 2018 · RIA to RIA
- J•••• W••••• S•••••• from L•• F•••••••• L••Feb 15, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Feb 23, 2018 · Coon Rapids, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• W••••• · Founder / Ceo / Ccocontrolsince 11/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 358 to 389Mar 28, 2024 to Apr 23, 2026
- HNW clients · 39 to 33Mar 28, 2024 to Apr 23, 2026
- Individual clients · 110 to 122Mar 28, 2024 to Apr 23, 2026
- Employees · 2 to 3Mar 28, 2024 to Apr 23, 2026
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Apr 23, 2026
- Discretionary RAUM · $81.0M to $120MMar 28, 2024 to Apr 23, 2026
- HNW RAUM · $41.9M to $50.0MMar 28, 2024 to Apr 23, 2026
- Individual RAUM · $39.1M to $70.5MMar 28, 2024 to Apr 23, 2026
- RAUM · $81.0M to $120MMar 28, 2024 to Apr 23, 2026
- Accounts · 426 to 358Sep 20, 2023 to Feb 14, 2024
- HNW clients · 33 to 39Sep 20, 2023 to Feb 14, 2024
- Individual clients · 175 to 110Sep 20, 2023 to Feb 14, 2024
- Discretionary RAUM · $97.4M to $81.0MSep 20, 2023 to Feb 14, 2024
- HNW RAUM · $34.1M to $41.9MSep 20, 2023 to Feb 14, 2024
- Individual RAUM · $63.3M to $39.1MSep 20, 2023 to Feb 14, 2024
- RAUM · $97.4M to $81.0MSep 20, 2023 to Feb 14, 2024
- Wrap assets (manager) · 0.0 to unsetSep 20, 2023 to Feb 14, 2024
- Wrap assets (sponsor) · 0.0 to unsetSep 20, 2023 to Feb 14, 2024
- Advisory activities · 3 to 4Apr 3, 2023 to Sep 20, 2023
- Accounts · 423 to 426Sep 1, 2022 to Feb 8, 2023
- Advisory employees · 2 to 1Sep 1, 2022 to Feb 8, 2023
- BD registered reps · 2 to 1Sep 1, 2022 to Feb 8, 2023
- Charity clients · 1 to 0Sep 1, 2022 to Feb 8, 2023
- HNW clients · 30 to 33Sep 1, 2022 to Feb 8, 2023
- Individual clients · 176 to 175Sep 1, 2022 to Feb 8, 2023
- Pension plan clients · unset to 0.0Sep 1, 2022 to Feb 8, 2023
- Employees · 3 to 2Sep 1, 2022 to Feb 8, 2023
- State-registered IARs · 2 to 1Sep 1, 2022 to Feb 8, 2023
- Discretionary RAUM · $111M to $97.4MSep 1, 2022 to Feb 8, 2023
- HNW RAUM · $37.6M to $34.1MSep 1, 2022 to Feb 8, 2023
- Individual RAUM · $72.1M to $63.3MSep 1, 2022 to Feb 8, 2023
- Pension RAUM · unset to 0.0Sep 1, 2022 to Feb 8, 2023
- RAUM · $111M to $97.4MSep 1, 2022 to Feb 8, 2023
Signals
2 dated events
- T••••••• J•••• E••••• left T•••• B•••• F•••••••• for T•• F•••••••• A••••••• (registered 2023-02-07)Feb 8, 2023 · Advisor changed firm · fact
- T•••• B•••• F•••••••• filed its initial SEC registration (Form ADV)Mar 29, 2022 · 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
- nikki@trottbrook.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 763-213-1000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 763-213-1001reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T••••-B••••-FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T••••B••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (763) 213-1000reportedpublic record, Form ADV, Apr 23, 2026
- Contact form
- trottbrook.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- trottbrook.com/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026