Trott Brook Financial, Inc.
● SEC registered since 2026CRD 290962SEC# 801-135880Anoka, MN
Reg. AUM
$120.5M
Employees
3
Accounts
389
Location
Anoka, MN
Trott Brook Financial, Inc. assets under management
Trott Brook Financial, Inc. operates as an SEC-registered investment adviser based in Anoka, MN. The firm has been registered since 2026. It reports $120.5 million in regulatory assets under management and employs 3 people.
Trott Brook Financial, Inc. owners & executives
1 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| James Warren Steffen Control | Founder / Ceo / Cco | Over 75% | 2017 |
Frequently asked questions
How much does Trott Brook Financial, Inc. manage?
Trott Brook Financial, Inc. reports $120.5 million in regulatory assets under management on its Form ADV.
How many employees does Trott Brook Financial, Inc. have?
Trott Brook Financial, Inc. reports 3 employees.
Where is Trott Brook Financial, Inc. located?
Trott Brook Financial, Inc. is based in Anoka, MN and has been SEC-registered since 2026.
Does Trott Brook Financial, Inc. disclose fund performance?
Trott Brook Financial, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 3601 Thurston Ave, Suite 102, Anoka, MN 55303 |
| Phone | (763) 213-1000 |
| Fax | (763) 213-1001 |
| Office hours | 8 - 4:30 |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$120.5MNo change
Mar '26Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 89%
Larger than 11% of 16,271 advisers
EmployeesTop 77%
More than 23% of 16,825 advisers
Assets under management
$120.5Mregulatory AUM
Discretionary $120.5M