Trademark Financial Management, LLC (Edina)

Name: Trademark Financial Management, LLC
Address: 7301 Ohms Lane, Edina, MN, 55439
Telephone: 952-358-3395

Trademark Financial Management, LLC is a large advisory firm based in Edina. It manages $130.18 million of regulatory assets for 663 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arizona, California, Minnesota, and 3 other states.

Trademark Financial Management provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and advisory consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Trademark Financial Management: assets under management

The assets under management (AUM) of Trademark Financial Management, LLC is $130.18 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 234% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $130.18 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $196.34 thousand each.

Trademark Financial Management has custody of $7.29 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 89% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 8% of the firm’s portfolio. Investments in other assets form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Trademark Financial Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Trademark Financial Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Trademark Financial Management is individuals with 342 clients and $85.83 million of assets under management. Among the 10 most similar advisory firms, Trademark Financial Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $130.18 million for 366 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Trademark Financial Management doesn't advise any private funds.

Careers at Trademark Financial Management, LLC

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark Anbuhl Carlton	Managing member	1 Jun 2000	75% - 100%	1554654
John Phillip Mowery	Chief compliance officer	1 Dec 2005	Other	4128093

Based in Edina

The principal office where Trademark Financial Management, LLC performs its advisory services is located at 7301 Ohms Lane, Edina, MN 55439, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 952-358-3395 or by fax 952-844-0563. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at trademarkfinancial.us.