SourcingSourcing

KOWALSKI FINANCIAL INC.

C36
CRD 300424·SEC 801-119629·MINNEAPOLIS, MN
AUM
$202.0M
$100M-$500M
Est. Revenue
$2.0M
@ 1% on AUM
Est. EBITDA
$606K
@ 30% margin
Est. Deal Value
$4.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KOWALSKI FINANCIAL INC.
CRD
300424
SEC file #
801-119629
EIN
—
DBA names
—

Economics

AUM
$202.0M
AUM band
$100M-$500M
AUM trajectory
'21'26
$103.7M → $202.0M▲ +95%
Client mix
Individuals Other166

Operations

Employees (total)
7
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
2 advisors → 2 advisors▬ 0%
Primary office
MINNEAPOLIS MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
01/09/2026
ADV-W filed at
—
Website
facebook.com/kowalskifinancial.com(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
KOWALSKI, MARC, RICHARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
KOWALSKI, MARC, RICHARD
ELLIOTT, MICHELLE, LEE
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
fallback_guess:kowalski.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2818853
Trust Company Affiliate
No

People (3)

3
KOWALSKI, MARC, RICHARD
IAR · Direct Owner · 87.5%
2818853
MICHELLE LEE ELLIOTT
Executive Officer · 2.5%
4072420
OLIVIA ALYSE STACEY
IAR
7226736