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Firm profile

Trott Brook Financial

ANOKA, MNCRD 290962Registration Status: ApprovedEffective since April 17, 2026Latest ADV April 23, 2026

Trott Brook Financial is an SEC registered investment adviser organized as a corporation with a primary office location in Anoka, MN. Its latest Form ADV filing, dated April 23, 2026, reports $120M in regulatory assets under management, 3 employees, and 389 accounts.

Assets Under Management
$120M
Employees
3
Offices
--
Total Clients
155
Primary office
ANOKA, MN
3601 THURSTON AVE, SUITE 102, ANOKA, MN, United States
ADV Item 1F location record

Contact and digital presence

ADV profile links

Leadership

2 roles identified
CEOJames W. Steffen
CCOJames W. Steffen

Advisory services offered

4 types reported
Financial Planning Services
Pension consulting services
Portfolio management for individuals and small businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees
Sources checked Aug 22, 2026

Client Coverage Demographics

Top client segmentIndividuals represent 78.7% of total clients.
Top client categories% of clientsClients
1
Individuals
78.7%
122
2
HNWI
21.3%
33

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$120Mas of April 23, 2026
Discretionary100.0%
$120M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$120M
Total Accounts389
10Y AUM Change+$10M (+8.6%)

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees3
Clients per Employee52:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.