Trott Brook Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$120,465,881
Clients
155
21% high-net-worth
Advisors
1
of 3 employees
Firm type
Supported
1-4 advisors or >$200M in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
155
Very HighAverage account size
$777,199
About
Trott Brook Financial provides discretionary asset management, retirement‑plan advisory (including limited ERISA 3(21) services), and ongoing financial planning and consulting to individuals, high‑net‑worth clients, and business entities. Client services are tailored around stated goals, time horizons, and risk tolerances and include portfolio monitoring, rebalance recommendations, and periodic financial plan updates.
The firm generally follows a long‑term, fundamentals‑based investment approach and implements strategies on a discretionary basis consistent with each client’s documented objectives. Trott Brook may engage third‑party sub‑advisors to manage all or part of accounts, requires use of a designated custodian for client accounts, and arranges for advisory fees to be deducted directly from client accounts.
Trott Brook operates as a solo practitioner while managing roughly $120 million in discretionary assets across its client base, a combination that is less common among supported firms. The firm’s principal also conducts business as a registered representative of a broker‑dealer and as an insurance agent (with disclosed receipt of commissions), and the brochure notes that Trott Brook does not routinely vote client proxies and may delegate full discretionary authority to selected sub‑advisors.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Wealth management
Retirement withdrawal strategies
General retirement planning
Tax-loss harvesting
Cash flow / budgeting
Fee options
$0 - $500,000: 1.40% $500,000.01 - $1,000,000: 1.25% $1,000,000.01 - $2,500,000: 1.00% $2,500,000.01 - $5,000,000: 0.80% $5,000,000.01+: 0.60%
Ongoing financial planning monthly fee ranging from $250 to $500 per month based on complexity and client needs.
Account minimum: $500,000
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:
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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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