Trott Brook Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$120,465,881
Total clients
155
21% high-net worth
Total advisors
1
of 3 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
155
Average account size
$777,199
About
Trott Brook Financial serves individual investors, including high-net-worth clients, and provides discretionary asset management, ongoing financial planning, and retirement-plan advisory services. The firm reports roughly $98 million in assets under management for about 146 clients and tailors portfolios to clients’ goals, time horizons, and risk tolerances.
The firm typically employs a long-term investment approach informed by fundamental analysis, customized asset allocation, and routine portfolio monitoring for rebalancing and tax-loss harvesting. Trott Brook has discretionary trading authority and may engage third-party sub‑advisors to manage all or part of client accounts while retaining overall client responsibility.
Trott Brook is a sole‑owner practice led by a CFP® professional who is also a registered representative and licensed insurance agent; the brochure discloses that advisor(s) may receive external commissions and describes procedures to mitigate related conflicts. The firm requires custody at a single custodian (Fidelity), may delegate full discretionary authority to sub‑advisors, and does not vote client proxies unless assistance is requested.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Retirement plans for business owners (SEP, solo 401k)
Wealth management
Tax-loss harvesting
General estate planning guidance
Cash flow / budgeting
Occupation focus
Founder/Business Owner
Executive
Fee options
$0 - $500,000: 1.40% annually $500,000.01 - $1,000,000: 1.25% annually $1,000,000.01 - $2,500,000: 1.00% annually $2,500,000.01 - $5,000,000: 0.80% annually $5,000,000.01+: 0.60% annually
Investment advisor representatives receive external compensation for sale of securities as registered representatives of a broker-dealer.
Account minimum: $500,000 Fee-only: Ongoing financial planning fees range from $250 to $500 per month, billed monthly in advance.
Main office location
Trott Brook Financial
3601 Thurston Ave, Suite 102
Anoka MN 55303, United States
Number of offices
1
Most active in
Trott Brook Financial has reported serving >5 clients in these states in the last 12 months.
Minnesota
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
LinkedIn
Facebook
Instagram
Website
(763) 213-1000
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