SourcingSourcing

JONES KERTZ & ASSOCIATES, INC.

C41
CRD 104976·SEC 801-112613·BLAINE, MN
AUM
$239.2M
$100M-$500M
Est. Revenue
$2.4M
@ 1% on AUM
Est. EBITDA
$718K
@ 30% margin
Est. Deal Value
$5.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
JONES KERTZ & ASSOCIATES, INC.
CRD
104976
SEC file #
801-112613
EIN
—
DBA names
—

Economics

AUM
$239.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$129.9M → $239.2M▲ +84%
Client mix
Individuals High Net Worth35
Individuals Other9

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
BLAINE MN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/04/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
KERTZ, BRIAN, HAROLD
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
KERTZ, BRIAN, HAROLD
WILKE, LINDA, SUE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2061
Soi Zip Pct 200k Plus
0.027
Soi Zip Returns 200k Plus
450
Soi Zip Total AGI
1,102,210
Fdic Zip Total Deposits
17,991,715,000
Fdic Zip Branch Count
280
Fdic Zip Top Banks
U.S. Bank National Association
21st Century Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Fidelity4
Wells Fargo4
E*trade4
Fdic Zip Branches Raw
Marquette Bank Brooklyn ParkBlaine, MN
Cityside Savings & Financial Services CompanyMinnetonka, MN
Fdic Zip HHI
1748.21
Fdic Zip Top Bank Share Pct
25.57
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI47,527
Returns3,910
Stub 2
AGI156,674
Returns4,120
Stub 3
AGI195,173
Returns3,190
Soi Zip Total Business Income
21,331
Soi Zip Total Cap Gains
11,706
Soi Zip Total Dividends
6,438
Soi Zip Total Returns
16,640
Top Owner CRD
2464023
Trust Company Affiliate
No

People (4)

4
WILKE, LINDA, SUE
IAR · Direct Owner · 62.5%
2151254
KERTZ, BRIAN, HAROLD
IAR · Direct Owner · 62.5%
2464023
MARGARET FLORENCE JONES
IAR
1433814
MICHAEL GREGORY MCCOOL
IAR
2316059