SourcingSourcing

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

C38
CRD 152003·SEC 801-119587·CLOQUET, MN
AUM
$356.1M
$100M-$500M
Est. Revenue
$3.6M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$8.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD
152003
SEC file #
801-119587
EIN
—
DBA names
—

Economics

AUM
$356.1M
AUM band
$100M-$500M
AUM trajectory
'21'26
$131.4M → $356.1M▲ +171%
Client mix
Individuals Other596
Individuals High Net Worth401
Investment Companies1

Operations

Employees (total)
6
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'21'26
4 advisors → 5 advisors▲ +25%
Primary office
CLOQUET MN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
04/20/2026
ADV-W filed at
—
Website
splitrocktrading.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
COOL, MARK, JOSEPH
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
COOL, MARK, JOSEPH
KOCON, TYLER, ALLEN
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

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SPLITROCKTRADING.COM
Rdap Domain Creation Date
2012-03-29T16:20:39Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
Cloudflare, Inc.

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
0.1939
Soi Zip Pct 200k Plus
0.0267
Soi Zip Returns 200k Plus
220
Soi Zip Total AGI
527,256
Fdic Zip Total Deposits
4,620,130,000
Fdic Zip Branch Count
144
Fdic Zip Top Banks
Wells Fargo Bank, National Association
U.S. Bank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Fidelity4
E*trade4
Fdic Zip Branches Raw
City National Bank of CloquetCloquet, MN
TCF Bank Minnesota, fsbCloquet, MN
Fdic Zip HHI
1787.68
Fdic Zip Top Bank Share Pct
28.34
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-29T16:20:39Z
Rdap Domain Last Changed
2026-02-15T05:19:18Z
Rdap Nameservers
Bayan.ns.cloudflare.comFish.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI26,947
Returns2,160
Stub 2
AGI76,339
Returns2,060
Stub 3
AGI92,440
Returns1,490
Soi Zip Total Business Income
10,667
Soi Zip Total Cap Gains
8,709
Soi Zip Total Dividends
4,188
Soi Zip Total Returns
8,250
Top Owner CRD
3154345
Trust Company Affiliate
No

People (5)

5
COOL, MARK, JOSEPH
IAR · Direct Owner · 62.5%
3154345
KOCON, TYLER, ALLEN
IAR · Direct Owner · 62.5%
4146389
KELLY ANN JOHNSON
IAR
2067848
Jedd Anich
IAR
7373668
DALE ALAN ANICH
IAR
1283578