# S3, Inc

> S3, Inc is a state-registered investment advisory firm in Minneapolis, MN, registered since 2008, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.

- CRD: 108401
- Filed as: S3, INC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Minneapolis, MN
- Filing period: October 2026
- Form ADV filing dated: March 23, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/108401
- AdvisorCensus page: https://advisorcensus.com/firm/s3-inc-minneapolis-mn-108401

## Quick answers

**How is S3, Inc compensated?**
On its Form ADV (Item 5.E, October 2026), S3, Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is S3, Inc located?**
S3, Inc's principal office is in Minneapolis, MN, according to its Form ADV.

**Is S3, Inc registered with the SEC or a state?**
S3, Inc is a state-registered investment advisory firm, registered since 2008. Status as filed: APPROVED. CRD 108401.

**How much does S3, Inc manage?**
S3, Inc reports $88,794,999 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (100% discretionary).

**What types of clients does S3, Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60); high net worth individuals (35); charitable organizations (10).

**Does S3, Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/108401

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $88,794,999
- Discretionary: $88,794,999
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 60 | $8,358,105 |
| High net worth individuals | 35 | $77,416,803 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 10 | $3,020,091 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2008 (18 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- s3financial.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. S3, Inc (CRD 108401): Form ADV filing data as of October 2026.