SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
SEC RegisteredTransparency, Get Started, Performance, Get Started, Opportunity, Get Started
About the firm
Split Rock Private Trading & Wealth Management is a Registered Investment Advisor (RIA) dedicated to managing investment portfolios on a discretionary basis. The firm operates on a conflict-free, fee-only model, ensuring advice is always in the client's best interest as mandated by its Fiduciary Standard, with no affiliations with broker-dealers, insurance/annuity companies, or banks.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Portfolio management, retirement plans (401k, Simple IRA, SEP IRA, 403b), financial planning, and tax planning, offered on a discretionary, fee-only basis.
Who they serve
Employers and employees seeking retirement plan management, as well as individuals seeking portfolio management, financial planning, and tax planning services.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 596 | $166M |
| High Net Worth Individuals | 401 | $130M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| State/Municipal Entities | 0 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
5 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Up to $50,000 | 1.75% |
| $50,000 - $500,000 | 1.50% |
| Above $500,000 | 1.25% |
Data as of April 20, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched