360 FINANCIAL, INC.

C40
CRD 168600·SEC 801-78425·WAYZATA, MN
AUM
$700.5M
$500M-$1B
Est. Revenue
$7.0M
@ 1% on AUM
Est. EBITDA
$2.1M
@ 30% margin
Est. Deal Value
$16.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
360 FINANCIAL, INC.
CRD
168600
SEC file #
801-78425
EIN
411823831
DBA names
360 Financial

Economics

AUM
$700.5M
AUM band
$500M-$1B
AUM trajectory
'20'26
$235.8M → $700.5M▲ +197%
Client mix
Individuals Other756
Individuals High Net Worth421
Corporations25
Charitable Organizations3
Pension Profit Sharing Plans1

Operations

Employees (total)
15
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
6 advisors → 9 advisors▲ +50%
Primary office
WAYZATA MN
Branches

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/11/2026
ADV-W filed at

Compliance

Disclosures (firm)
4
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROGERS, MICHAEL, ANTHONY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
ROGERS, MICHAEL, ANTHONY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
11,272
Form 5500 Compensation Trajectory 3y
202511,272
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
11,272
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001802324
Edgar Registered
Yes
Edgar Filing Count
29
Edgar First Filing Date
2020-02-28
Edgar Last Filing Date
2026-05-07
Edgar 13f Count
27
Edgar 13f Latest AUM Estimate
Filing Date2026-05-07
Accession0001802324-26-000003

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
9
Bc Firm Active IA Count
10
Bc Firm IAR Count
10
Custodian Candidates
Full
Lpl Financial4
E*trade4
Edgar Addresses
Mailing
849 LAKE STREET EASTWAYZATA, MN 55391
Business
849 LAKE STREET EASTWAYZATA, MN 55391
Edgar EIN
411823831
Edgar Recent Filings
13F-HR2026-05-07 · 0001802324-26-000003
13F-HR/A2026-02-13 · 0001802324-26-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1999760
Trust Company Affiliate
No