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GREAT WATERS FINANCIAL

SHOREVIEW, MN · CRD 308215 · IAPD ↗ · 612-360-2127

$1.24BRegulatory AUM
23Advisory reps
42Employees
2Clients
1-10Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
May 2026 — GREAT WATERS FINANCIAL notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
March 2026 — GREAT WATERS FINANCIAL added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
December 2025 — GREAT WATERS FINANCIAL notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
June 2025 — GREAT WATERS FINANCIAL notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
August 2024 — GREAT WATERS FINANCIAL added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — GREAT WATERS FINANCIAL crossed $1B in regulatory AUM ($957.6M -> $1.02B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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