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GEN FINANCIAL MANAGEMENT INC.

PLYMOUTH, MN · CRD 110179 · IAPD ↗ · genfinancial.com · 952-513-1466

$331.8MRegulatory AUM
3Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

48
March 2026 — GEN FINANCIAL MANAGEMENT INC. reported RAUM down 33% ($496.5M -> $331.8M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
47
April 2025 — GEN FINANCIAL MANAGEMENT INC. notice-filed in AZ, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
May 2024 — GEN FINANCIAL MANAGEMENT INC. reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.