# Trott Brook Financial

> Trott Brook Financial is an SEC-registered investment advisory firm in Anoka, MN, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 23, 2026.

- CRD: 290962
- Filed as: TROTT BROOK FINANCIAL
- Legal name: Trott Brook Financial, Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Anoka, MN
- Filing period: October 2026
- Form ADV filing dated: April 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/290962
- AdvisorCensus page: https://advisorcensus.com/firm/trott-brook-financial-anoka-mn-290962

## Quick answers

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

**Where is Trott Brook Financial located?**
Trott Brook Financial's principal office is in Anoka, MN, according to its Form ADV.

**Is Trott Brook Financial registered with the SEC or a state?**
Trott Brook Financial is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 290962.

**How much does Trott Brook Financial manage?**
Trott Brook Financial reports $120,465,881 in regulatory assets under management in its Form ADV filing dated April 23, 2026 (100% discretionary).

**How have Trott Brook Financial's assets and staff changed since 2022?**
In the Form ADV data for Trott Brook Financial: Regulatory assets under management: $110,960,740 in the October 2022 data and $120,465,881 in the October 2026 data, up 9%. Total employees: 3 in October 2022 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Trott Brook Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (122); high net worth individuals (33).

**Which custodians does Trott Brook Financial use?**
Trott Brook Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Trott Brook Financial 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/290962

**Does Trott Brook Financial state an account minimum?**
Its Form ADV Part 2A brochure dated April 23, 2026 says: "Trott Brook requires a minimum of $500,000 to open an account. In certain instances, the minimum account size may be lowered or waived."

## 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 April 23, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> Trott Brook requires a minimum of $500,000 to open an account. In certain instances, the minimum account size may be lowered or waived.

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

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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: $120,465,881
- Discretionary: $120,465,881
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 122 | $70,495,207 |
| High net worth individuals | 33 | $49,970,674 |
| 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 | 0 | $0 |
| 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
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2026 (0 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, MN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- trottbrook.com
- vimeo.com/TROTTBROOK
- Facebook @TROTTBROOK
- Instagram @trottbrookfinancial
- LinkedIn @TROTT-BROOK-FINANCIAL
- LinkedIn @jwsteffen

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $110,960,740 | 3 | September 1, 2022 |
| October 2023 | $97,393,000 | 2 | September 20, 2023 |
| October 2026 | $120,465,881 | 3 | April 23, 2026 |

Regulatory assets under management: $110,960,740 in the October 2022 data and $120,465,881 in the October 2026 data, up 9%.
Total employees: 3 in October 2022 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Trott Brook Financial (CRD 290962): Form ADV filing data as of October 2026.