{
  "crd_number": 297583,
  "slug": "rossjohnson-and-associates-llc-plymouth-mn-297583",
  "primary_business_name": "ROSSJOHNSON & ASSOCIATES, LLC",
  "legal_name": "ROSSJOHNSON & ASSOCIATES, LLC",
  "dbas": [],
  "city": "Plymouth",
  "state": "MN",
  "country": "United States",
  "cbsa_code": "33460",
  "metro": {
    "cbsa_code": "33460",
    "common_name": "Minneapolis",
    "msa_name": "Minneapolis-St. Paul-Bloomington, MN-WI",
    "path": "/advisors/mn/minneapolis"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-03-24",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 211615913.0,
  "raum_discretionary": 205339465.0,
  "raum_non_discretionary": 6276448.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 3,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 50975486.0,
      "count": 192
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 6276448.0,
      "count": 2,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 154363979.0,
      "count": 80
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IL",
    "MI",
    "MN",
    "NE",
    "NH",
    "TX",
    "WI"
  ],
  "websites": [
    "https://rossjohnsonweb.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/297583",
  "city_as_filed": "PLYMOUTH",
  "url": "https://advisorcensus.com/firm/rossjohnson-and-associates-llc-plymouth-mn-297583",
  "display_name": "Rossjohnson & Associates, LLC",
  "summary": "Rossjohnson & Associates, LLC is an SEC-registered investment advisory firm in Plymouth, MN, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Rossjohnson & Associates, LLC (CRD 297583): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Rossjohnson & Associates, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rossjohnson & Associates, LLC reports these compensation arrangements: a percentage of assets under its management; commissions."
    },
    {
      "q": "How much does Rossjohnson & Associates, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Up to $500,000: 1% a year; $500,001 to $3,000,000: 0.75% a year; Above $3,000,001: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Rossjohnson & Associates, LLC located?",
      "a": "Rossjohnson & Associates, LLC's principal office is in Plymouth, MN, according to its Form ADV."
    },
    {
      "q": "Is Rossjohnson & Associates, LLC registered with the SEC or a state?",
      "a": "Rossjohnson & Associates, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 297583."
    },
    {
      "q": "How much does Rossjohnson & Associates, LLC manage?",
      "a": "Rossjohnson & Associates, LLC reports $211,615,913 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (97% discretionary)."
    },
    {
      "q": "How have Rossjohnson & Associates, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Rossjohnson & Associates, LLC: Regulatory assets under management: $126,810,393 in the October 2021 data and $211,615,913 in the October 2026 data, up 67%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Rossjohnson & Associates, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (192); high net worth individuals (80); pension and profit sharing plans (but not the plan participants or government pension plans) (2)."
    },
    {
      "q": "Which custodians does Rossjohnson & Associates, LLC use?",
      "a": "Rossjohnson & Associates, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists SEI Investments Distribution Co. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Rossjohnson & Associates, LLC report any disciplinary disclosures?",
      "a": "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/297583"
    },
    {
      "q": "Does Rossjohnson & Associates, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"There is no account minimum for any of RJA’s services.\""
    },
    {
      "q": "What changed in Rossjohnson & Associates, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 4 to 3. Regulatory assets under management went from $170,415,282 to $211,615,913 (+24%). Registered or notice-filed in FL, MI, NE, NH, WI."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 126810393.0,
      "total_employees": 4,
      "filing_date": "2021-03-05"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 133989797.0,
      "total_employees": 4,
      "filing_date": "2022-02-01"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 130244844.0,
      "total_employees": 4,
      "filing_date": "2023-07-26"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 150495008.0,
      "total_employees": 5,
      "filing_date": "2024-04-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 170415282.0,
      "total_employees": 4,
      "filing_date": "2025-06-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 211615913.0,
      "total_employees": 4,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 4 to 3.",
        "Regulatory assets under management went from $170,415,282 to $211,615,913 (+24%).",
        "Registered or notice-filed in FL, MI, NE, NH, WI."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $500,000",
        "rate": "1%"
      },
      {
        "band": "$500,001 to $3,000,000",
        "rate": "0.75%"
      },
      {
        "band": "Above $3,000,001",
        "rate": "0.5%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $500,000: 1% a year",
          "$500,001 to $3,000,000: 0.75% a year",
          "Above $3,000,001: 0.5% a year"
        ],
        "quotes": [
          "Portfolio Management Fees  Total Assets Under Management Annual Fees $0 - $500,000 1.00% $500,001 - $3,000,000 0.75% $3,000,001 - AND UP 0.50%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no account minimum for any of RJA’s services."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 500000.0,
          "rate_pct": 1.0
        },
        {
          "min": 500001.0,
          "max": 3000000.0,
          "rate_pct": 0.75
        },
        {
          "min": 3000001.0,
          "max": null,
          "rate_pct": 0.5
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Portfolio Management Fees  Total Assets Under Management Annual Fees $0 - $500,000 1.00% $500,001 - $3,000,000 0.75% $3,000,001 - AND UP 0.50%",
      "There is no account minimum for any of RJA’s services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "SEI Investments Distribution Co.",
      "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/rossjohnson-and-associates-llc-plymouth-mn-297583.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 192,
      "fewer_than_5": false,
      "raum": 50975486.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 80,
      "fewer_than_5": false,
      "raum": 154363979.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 6276448.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/297583",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}