SourcingSourcing

TROTT BROOK FINANCIAL, INC.

A75
CRD 290962·SEC 801-135880·ANOKA, MN
AUM
$120.5M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$361K
@ 30% margin
Est. Deal Value
$2.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TROTT BROOK FINANCIAL, INC.
CRD
290962
SEC file #
801-135880
EIN
—
DBA names
Trott Brook Financial

Economics

AUM
$120.5M
AUM band
$100M-$500M
AUM trajectory
'23'26
$111.0M → $120.5M▲ +9%
Client mix
Individuals Other122
Individuals High Net Worth33

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'23'26
2 advisors → 1 advisors▼ -50%
Primary office
ANOKA MN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
04/23/2026
ADV-W filed at
—
Website
facebook.com/trottbrook(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
STEFFEN, JAMES, WARREN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
STEFFEN, JAMES, WARREN
Solo Advisor Indicator
Yes
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
fallback_guess:trottbrook.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
10,170
Form 5500 Compensation Trajectory 3y
202510,170
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
10,170
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2691
Soi Zip Pct 200k Plus
0.0561
Soi Zip Returns 200k Plus
1,500
Soi Zip Total AGI
2,271,800
Fdic Zip Total Deposits
18,772,395,000
Fdic Zip Branch Count
309
Fdic Zip Top Banks
Wells Fargo Bank, National Association
U.S. Bank National Association

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
1
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Fidelity4
E*trade4
Fdic Zip Branches Raw
TCF Bank Minnesota, fsbAnoka, MN
The First National Bank of Elk RiverAnoka, MN
Fdic Zip HHI
1257.09
Fdic Zip Top Bank Share Pct
25.15
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI72,729
Returns5,920
Stub 2
AGI215,723
Returns5,720
Stub 3
AGI292,079
Returns4,740
Soi Zip Total Business Income
42,360
Soi Zip Total Cap Gains
114,510
Soi Zip Total Dividends
23,813
Soi Zip Total Returns
26,720
Top Owner CRD
2342473
Trust Company Affiliate
No

People (1)

1
STEFFEN, JAMES, WARREN
IAR · Direct Owner · 87.5%
2342473