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Kenneth K

Series 63, Series 65

St Paul, MN

Harbour Investments, Inc.

Kenneth Kauth is a financial advisor at Harbour Investments, Inc. with 41 years of industry experience. He holds Series 63 and Series 65 licenses and has been associated with Harbour Investments and Lakes and Plains Advisors since 2013. Outside of his advisory role, he operates as an independent insurance agent under Lakes and Plains Advisors, including offering equity indexed annuities. Harbour Investments provides investment advisory and financial planning services to a diverse client base, including individuals, charitable and corporate clients, retirement plans, and other financial advisors. The firm employs a combination of fundamental and technical analysis to construct customized strategies using various investment instruments and offers model-based solutions through a subscription platform.

Annuities Options & derivatives strategies
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Anna H

Series 66

Minneapolis, MN

Focus Financial

Anna Hupert is a financial advisor with Focus Financial, holding a Series 66 designation and two years of industry experience. She has worked at Focus Financial and Osaic Wealth and has prior experience at Land O'Lakes and Community Reinvestment Fund. Focus Financial Network, Inc. is an enterprise investment adviser managing approximately $6.3 billion through a network of 118 advisors. The firm serves individuals, pension and profit-sharing plans, trusts, charitable organizations, and corporate clients, offering a range of investment management and financial planning services.

Executive Founder/Business Owner
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Edward S

Series 63, Series 65

Minneapolis, MN

CliftonLarsonAllen Wealth Advisors, LLC

Edward Stober Jr. is a financial advisor at CliftonLarsonAllen Wealth Advisors, LLC in Minneapolis, MN, with 12 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Nepsis, Inc. and Choreo, formerly RSM US Wealth Management LLC. CliftonLarsonAllen Wealth Advisors provides wealth advisory and asset management services to individuals, including high-net-worth clients, corporate and institutional clients, and qualified retirement plans. The firm integrates fiduciary advisory services with broker-dealer and insurance activities and offers multidisciplinary planning through its Private Client Services model.

Business exit / sale strategy Business succession planning College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Michael L

Series 63, Series 65

Woodbury, MN

Great Valley Advisor Group, LLC

Michael Laatsch is a financial advisor with Great Valley Advisor Group, LLC, holding Series 63 and Series 65 registrations and bringing 16 years of industry experience. He has been with Great Valley Advisor Group and LPL Financial since 2016. Outside of his advisory roles, he is involved in coaching through NextGen Leadership. Great Valley Advisor Group is a multi-team SEC-registered investment adviser serving individuals, retirement plans, trusts, and other entities. The firm offers discretionary and non-discretionary investment management, financial planning, and retirement-plan consulting, utilizing a blend of in-house strategies and third-party managers across various platforms.

Retirement income strategy Business exit / sale strategy Tax strategies for small businesses Founder/Business Owner Retired
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Bennett G

CFP®, Series 63, Series 65

Minneapolis, MN

CliftonLarsonAllen Wealth Advisors, LLC

Bennett Greer is a CFP® with five years of industry experience, currently serving as a financial advisor at CliftonLarsonAllen Wealth Advisors, LLC in Minneapolis, MN. His prior work includes roles at MassMutual Central US and First National Bank of Omaha, as well as positions at Creighton University. CliftonLarsonAllen Wealth Advisors serves individuals, corporate and institutional clients, and qualified retirement plans, offering wealth advisory, asset management, financial and estate planning, and business succession consulting. The firm employs a strategic asset allocation approach through model portfolios and integrates advisory services with multidisciplinary planning via its Private Client Services model.

Business exit / sale strategy Business succession planning College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Justin L

Series 63, Series 66

Woodbury, MN

Great Valley Advisor Group, LLC

Justin Larson is a financial advisor with Great Valley Advisor Group, LLC, holding Series 63 and Series 66 licenses and bringing nine years of industry experience. His prior roles include positions at Wealth Enhancement Advisory Services and LPL Financial. Larson provides administrative support to Great Valley Advisor Group, Inc., dedicating significant time to this activity. Great Valley Advisor Group is an SEC-registered, multi-team investment adviser serving individuals, retirement plans, trusts, and other entities. The firm offers discretionary and non-discretionary investment management, financial planning, and retirement-plan consulting, emphasizing individualized portfolio construction and ongoing oversight through both in-house and third-party strategies.

Retirement income strategy Business exit / sale strategy Tax strategies for small businesses Founder/Business Owner Retired
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Keaton D

Series 65

Minneapolis, MN

Northrock Partners, LLC

Keaton Duchow is a financial advisor with NorthRock Partners, LLC, holding a Series 65 designation. He has been with NorthRock Partners since 2020. Prior to his current role, he has worked in various positions including at Galloway Grille and Noodles and Company. NorthRock Partners is a full-service wealth management firm serving individuals, trusts, estates, retirement plans, private funds, and business entities. The firm employs a tailored, holistic investment approach that includes diversification, periodic rebalancing, and the use of both public and private market strategies.

Wealth management Private / alternative investments Real estate investing Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Angela M

Series 66

Minneapolis, MN

Focus Financial

Angela Mhiripiri is a financial advisor at Focus Financial with five years of industry experience. She holds a Series 66 designation and has worked at Focus Financial and Royal Alliance, as well as at Syngenta. She is based in Minneapolis, MN. Focus Financial Network, Inc. is an enterprise investment adviser managing approximately $6.3 billion across 118 advisors. The firm serves individuals, pension and profit-sharing plans, trusts, charitable organizations, and corporate clients, offering a range of managed accounts, retirement plan consulting, and financial planning services.

Executive Founder/Business Owner
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Richard R

Series 63

Arden Hills, MN

Gradient Securities, LLC

Richard Reid is a financial advisor with Gradient Securities, LLC, holding a Series 63 designation and 24 years of industry experience. He has been with Gradient Securities since 2013 and also owns and operates several other businesses, including Scott Reid CPAs, providing tax and accounting services, and Scott & Sarah Investments, a master franchise for high-end graphic printing. Reid is also treasurer of the nonprofit organization World Link Associates. Gradient Securities, doing business as Gradient Wealth Management, offers financial planning, consulting, third-party manager referrals, and non-discretionary asset management to individuals, pension and profit-sharing plans, trusts, estates, corporations, and other entities. The firm operates as both an SEC-registered investment adviser and a FINRA-registered broker-dealer, emphasizing non-discretionary advice with client approval required for trade execution.

Retirement plans for business owners (SEP, solo 401k) Business ownership considerations Business exit / sale strategy General estate planning guidance Founder/Business Owner Executive
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Matthew D

Series 63, Series 65

Minneapolis, MN

Mutual Advisors, LLC

Matthew Donnelly is a financial advisor with Mutual Advisors, LLC in Minneapolis, MN, holding Series 63 and Series 65 licenses and 14 years of industry experience. He previously worked at Principal Financial Services and Principal Life Insurance Company from 2014 to 2019. Outside of his advisory role, he is a partner and advisor in an insurance agency and manages administrative operations for Grey Fox Financial Partners, LLC. Mutual Advisors, LLC is an SEC-registered adviser managing approximately $6.75 billion through 123 advisors, serving individuals, institutional investors, trusts, and retirement plans. The firm offers a range of services including asset management and ERISA plan consulting, employing a mix of passive and active strategies tailored to client objectives.

Annuities Options & derivatives strategies
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Elena D

CFP®, Series 63

Minneapolis, MN

BlueSpring Wealth Management, LLC

Elena Dant is a CFP®-credentialed financial advisor with two years of industry experience. She is currently with BlueSpring Wealth Management, LLC in Minneapolis, MN, and has prior experience at Kestra Financial Inc. and Vector Wealth Management. Outside of her advisory role, she works as a freelance collaborative pianist. Vector Wealth Management serves individuals, business owners, trusts and estates, and pension and profit-sharing plans with discretionary and limited non-discretionary investment management, financial planning, and retirement plan consulting. The firm uses a client-specific investment process overseen by an Investment Committee and offers specialized strategies including custom option overlays and hedging.

Concentrated stock management Options & derivatives strategies Private / alternative investments Founder/Business Owner Retired
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Robert L

Series 63, Series 65

Minneapolis, MN

Van Clemens Wealth Management, LLC

Robert Long Jr. is a financial advisor with Van Clemens Wealth Management, LLC in Minneapolis, MN, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. His career includes roles at The Oak Ridge Financial Services Group, Inc. and Feltl and Company before joining Van Clemens in 2023. Outside of advisory work, he owns and manages a separate rental property business. Van Clemens Wealth Management serves individuals, trusts, estates, and institutional clients with services including portfolio management, financial planning, retirement plan consulting, and estate-planning support. The firm utilizes a combination of modern portfolio theory, fundamental and technical analysis, and offers a Growth Opportunities Model focused on micro- and small-cap equities.

Annuities Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Austin K

Series 65

Minneapolis, MN

Van Clemens Wealth Management, LLC

Austin Kurylo is a financial advisor at Van Clemens Wealth Management, LLC in Minneapolis, MN, holding a Series 65 credential with one year of industry experience. His prior roles include positions at Baker Tilly Advisory Group and RSM LLP. Van Clemens Wealth Management provides investment advisory and financial planning services to individuals, trusts, estates, and institutional clients, serving both non-high-net-worth and high-net-worth individuals. The firm customizes portfolios through discretionary and non-discretionary arrangements using various analytical methods and employs numerous third-party managers along with an in-house Growth Opportunities model focused on micro- and small-cap equities.

Annuities Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Matthew S

Series 66

Minneapolis, MN

Thrivent Advisor Network, LLC

Matthew Stuessi is a financial advisor with Thrivent Advisor Network, LLC and holds a Series 66 designation. He has experience in education, having worked at Liberty University, Southwest Christian High School, and Hopkins School District prior to joining the financial industry. Thrivent Advisor Network, LLC provides investment advisory services to individuals, families, trusts, estates, businesses, retirement plans, and charitable organizations. The firm emphasizes a long-term investment approach using customized asset allocations with low-cost mutual funds, ETFs, fixed-income securities, and alternative investments, supported by formal account reviews and third-party custodians.

Annuities College savings (529s, UTMA, etc.) Private / alternative investments
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Stephen P

Series 65, Series 63

Minneapolis, MN

Van Clemens Wealth Management, LLC

Stephen Pascoe is a financial advisor with Van Clemens Wealth Management, LLC in Minneapolis, MN. He holds Series 63 and Series 65 credentials and has 11 years of industry experience. Prior to joining Van Clemens Wealth Management, he worked at Country Capital Management Co and related insurance affiliates for eight years. Pascoe is also CEO of Inspire Companies LLC, which includes independent insurance and wealth management operations under the Inspire Financial Services brand. Van Clemens Wealth Management provides investment advisory and financial planning services to individuals, trusts, estates, and institutional clients. The firm offers customized portfolios through discretionary and non-discretionary arrangements, employing methods such as modern portfolio theory and fundamental and technical analysis, and utilizes a broad range of third-party managers as well as an in-house Growth Opportunities model focusing on micro- and small-cap equities.

Annuities Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Brandon W

CFP®

Minneapolis, MN

Northrock Partners, LLC

Brandon Wohlrabe is a CFP® professional at NorthRock Partners, LLC with experience spanning roles at Wells Fargo and Colliers Mortgage. He has been with NorthRock since 2023. NorthRock Partners is a full-service wealth management firm serving individuals, trusts, estates, retirement plans, private funds, and business entities. The firm employs a tailored, holistic investment approach emphasizing broad asset allocation, diversification, and periodic rebalancing while offering additional services such as tax preparation and bill pay.

Wealth management Private / alternative investments Real estate investing Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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James E

CFP®, Series 63, Series 65

Minneapolis, MN

Thrivent Advisor Network, LLC

James Elvestrom is a financial advisor with Thrivent Advisor Network, LLC, holding the CFP® designation and Series 63 and 65 licenses, and has 33 years of industry experience. His career includes long-term roles at Thrivent Investment Management and Thrivent Financial for Lutherans, as well as Purshe Kaplan Sterling Investments. Outside of advising, he participates in client education meetings related to long-term care insurance referrals. Thrivent Advisor Network, LLC serves individuals, families, trusts, estates, businesses, retirement plans, and charitable organizations with a long-term focused investment approach that emphasizes customized asset allocations using low-cost mutual funds, ETFs, fixed-income securities, and alternative investments. The firm is a subsidiary of Thrivent Financial for Lutherans and integrates investment and insurance product options through affiliated entities.

Annuities College savings (529s, UTMA, etc.) Private / alternative investments
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Robert B

Series 65

Minneapolis, MN

Van Clemens Wealth Management, LLC

Robert Boll is a financial advisor with Van Clemens Wealth Management, LLC in Minneapolis, MN. He holds a Series 65 designation and has one year of industry experience. Prior to joining Van Clemens, he worked at Benchmark Electronics and LaCrosse Financial Planning, among other employers. Van Clemens Wealth Management provides investment advisory and financial planning services to individuals, trusts, estates, and institutional clients. The firm customizes portfolios using both discretionary and non-discretionary arrangements and employs a range of methods including modern portfolio theory and fundamental and technical analysis.

Annuities Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Keith G

CFA®

Arden Hills, MN

Gradient Investments, LLC

Keith Gangl is a CFA® charterholder with seven years of industry experience. He has been with Gradient Investments, LLC since 2018 and previously worked at Thrivent Financial for Lutherans for 24 years. Gradient Investments, LLC provides discretionary investment management to a broad client base, including individuals, institutions, and charitable organizations. The firm uses a proprietary Wright Investment Strategies framework and offers a range of discretionary portfolios employing various asset types, including private equity and structured notes.

Private / alternative investments Tax-loss harvesting Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Katie G

Series 65, Series 63

Arden Hills, MN

Gradient Securities, LLC

Katie Grage is a financial advisor with Gradient Securities, LLC and holds Series 65 and Series 63 credentials. She has 17 years of industry experience, including prior roles at Gradient Advisors, LLC and as Director of Compliance at RIA Registrar. Outside of advising, she is involved in compliance consulting through her role at RIA Registrar. Gradient Securities, LLC, operating as Gradient Wealth Management, provides financial planning, consulting, and non-discretionary asset management services to individuals, retirement plans, trusts, and businesses. The firm emphasizes a non-discretionary investment model and incorporates fundamental, technical, and cyclical analysis combined with third-party manager relationships.

Retirement plans for business owners (SEP, solo 401k) Business ownership considerations Business exit / sale strategy General estate planning guidance Founder/Business Owner Executive
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