SourcingSourcing

STRATEGIC ASSET MANAGEMENT LLC.

C34
CRD 306384·SEC 801-120401·ROCHESTER, MN
AUM
$218.3M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$655K
@ 30% margin
Est. Deal Value
$5.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STRATEGIC ASSET MANAGEMENT LLC.
CRD
306384
SEC file #
801-120401
EIN
384130284
DBA names
—

Economics

AUM
$218.3M
AUM band
$100M-$500M
AUM trajectory
'22'26
$118.0M → $218.3M▲ +85%
Client mix
Individuals Other156
Individuals High Net Worth75

Operations

Employees (total)
11
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'22'26
7 advisors → 10 advisors▲ +43%
Primary office
ROCHESTER MN
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
01/22/2026
ADV-W filed at
—
Website
strategicassetmgt.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NELSON, GREGORY, BRIAN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
NELSON, GREGORY, BRIAN
LOVIK, NATHAN, ANDREW
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
ok
Rdap Domain
STRATEGICASSETMGT.COM
Rdap Domain Creation Date
2020-10-14T13:51:37Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001888541
Edgar Registered
Yes
Edgar Filing Count
5
Edgar First Filing Date
2021-11-04
Edgar Last Filing Date
2022-11-01
Edgar 13f Count
5
Edgar 13f Latest AUM Estimate
Filing Date2022-11-01
Accession0001214659-22-012905

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
11
Bc Firm IAR Count
11
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
2434 SUPERIOR DR NWSUITE 101ROCHESTER, MN 55901
Business
2434 SUPERIOR DR NWSUITE 101ROCHESTER, MN 55901
Edgar EIN
384130284
Edgar Recent Filings
13F-HR2022-11-01 · 0001214659-22-012905
13F-HR2022-07-14 · 0001214659-22-008833
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-14T13:51:37Z
Rdap Domain Last Changed
2025-10-15T11:31:09Z
Rdap Nameservers
Ns6.wixdns.netNs7.wixdns.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
3019785
Trust Company Affiliate
No

People (11)

11
NELSON, GREGORY, BRIAN
IAR · Direct Owner · 87.5%
3019785
LOVIK, NATHAN, ANDREW
IAR · Executive Officer · 2.5%
5323456
DAVID LESTER DARNER
IAR
1053765
MONICA RAE MIMS
IAR
7048561
Susan Marshall Mims
IAR
4202677
ADAM LEE RAINEY
IAR
6232758
WADE MICHAEL JOHNSON
IAR
4292446
David J Willeumier
IAR
4782886
JOHN L SHOCKEY
IAR
4500774
JONATHAN PAUL HORICK
IAR
2261282
Kristen Marie Mueller
IAR
5561155