# Knox Avenue Financial Corp.

> Knox Avenue Financial Corp. is an SEC-registered investment advisory firm in St. Paul, MN, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 28, 2026.

- CRD: 289094
- Filed as: KNOX AVENUE FINANCIAL CORP.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: St. Paul, MN
- Filing period: October 2026
- Form ADV filing dated: July 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/289094
- AdvisorCensus page: https://advisorcensus.com/firm/knox-avenue-financial-corp-st-paul-mn-289094

## Quick answers

**How is Knox Avenue Financial Corp. compensated?**
On its Form ADV (Item 5.E, October 2026), Knox Avenue Financial Corp. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Knox Avenue Financial Corp. located?**
Knox Avenue Financial Corp.'s principal office is in St. Paul, MN, according to its Form ADV.

**Is Knox Avenue Financial Corp. registered with the SEC or a state?**
Knox Avenue Financial Corp. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 289094.

**How much does Knox Avenue Financial Corp. manage?**
Knox Avenue Financial Corp. reports $144,725,154 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (88% discretionary).

**How have Knox Avenue Financial Corp.'s assets and staff changed since 2025?**
In the Form ADV data for Knox Avenue Financial Corp.: Regulatory assets under management: $118,929,883 in the October 2025 data and $144,725,154 in the October 2026 data, up 22%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Knox Avenue Financial Corp. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (175); high net worth individuals (46); pension and profit sharing plans (but not the plan participants or government pension plans) (6).

**Which custodians does Knox Avenue Financial Corp. use?**
Knox Avenue Financial Corp.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Knox Avenue Financial Corp. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289094

**Does Knox Avenue Financial Corp. state an account minimum?**
Its Form ADV Part 2A brochure dated July 28, 2026 says: "Knox Avenue Financial Corp. offers investment advisory services to individuals and small businesses. There is no minimum account size to open and maintain an advisory account."

**What changed in Knox Avenue Financial Corp.'s recent Form ADV filings?**
In the August 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated July 28, 2026)

- Account minimum: None

> Knox Avenue Financial Corp. offers investment advisory services to individuals and small businesses. There is no minimum account size to open and maintain an advisory account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $144,725,154
- Discretionary: $127,942,082
- Non-discretionary: $16,783,072

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 175 | $42,313,484 |
| High net worth individuals | 46 | $93,079,992 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $8,987,167 |
| Charitable organizations | Fewer than 5 | $344,511 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: MN, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- knoxavenuefinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $118,929,883 | 1 | May 12, 2025 |
| October 2026 | $144,725,154 | 1 | July 28, 2026 |

Regulatory assets under management: $118,929,883 in the October 2025 data and $144,725,154 in the October 2026 data, up 22%.
Total employees: 1 in October 2025 and 1 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Updated its list of owners and control persons (Schedule A).

### March 2026
- Regulatory assets under management went from $118,929,883 to $144,725,154 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Knox Avenue Financial Corp. (CRD 289094): Form ADV filing data as of October 2026.