Excel Financial, LLC

RIASEC Registered
Total AUM
$404M
Discretionary
$348M
86% of AUM
Avg account
$359K
Accounts
1,128
Employees
9
Advisory reps
5

Firm details

Headquarters
Red Wing, Minnesota
CRD number
145301
Registered since
January 28, 2016
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI49.68%
  • Pension & Profit Sharing Plans28.98%
  • Individuals20.45%
  • Charitable Organizations0.84%
  • Corporations / Businesses0.05%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Excel Financial, LLC operates as an independent registered investment adviser organized as a limited liability company. The firm is SEC-registered (registration year 2016) and is organized under individual ownership. It positions itself as a capital allocator serving both individual and family clients alongside institutional accounts. Revenue is generated through a mix of percentage-of-AUM fees as well as hourly and fixed-fee arrangements. Beyond advisory services, the firm is also active as an insurance broker. Advisory capabilities listed on the firm’s ADV emphasize financial planning and portfolio management for individuals, small businesses, and larger business or institutional entities, plus selection-of-other-advisers services. The firm does not identify itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 72%, Exchange Traded Equities 19%, State & Local Bonds 4%, Cash & Cash Equivalents 4%, Private Funds 1%72%
  • Public Funds/Mutual Funds72%
  • Exchange Traded Equities19%
  • State & Local Bonds4%
  • Cash & Cash Equivalents4%
  • Private Funds1%

Contacts

3 of 5
  • John Loquai

    John Loquai

    PartnerCRD 5877875

  • James Loquai

    James Loquai

    PartnerCRD 5115146

  • Brent Urbach

    Brent Urbach

    PartnerCRD 6508668

Unlock 2 more contacts →

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Red Wing, MN

Goodhue

Location

Red Wing, MN

Headquartered in Red Wing, MN, anchoring the Minneapolis-St. Paul, MN-WI metro in the Midwest.

Metro area
Minneapolis-St. Paul, MN-WI
Region
Midwest
County
Goodhue
Address
321 Main St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth