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TROTT BROOK FINANCIAL

ANOKA, MN · CRD 290962 · IAPD ↗ · (763) 213-1000

$120.5MRegulatory AUM
1Advisory reps
3Employees
2Clients
101-250Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

95
May 2026 — TROTT BROOK FINANCIAL (ANOKA, MN) is newly SEC-registered with $120.5M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
60
May 2024 — TROTT BROOK FINANCIAL (ANOKA, MN) left the SEC roster (was $81.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation

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