EXCEL FINANCIAL, LLC

RIASEC RegisteredEst. 2016

Total AUM

$404M

Discretionary

$348M

86% of AUM

Avg account

$359K

Accounts

1,128

Employees

Advisory reps

Firm details

Headquarters: RED WING, Minnesota
CRD number: 145301
Registered since: January 28, 2016
Website: www.excelfinllc.com
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 is an independent registered investment adviser that began SEC registration in 2016 and operates as a limited liability company owned by an individual. The firm serves both individual & family clients and institutional accounts. Its advisory offering centers on financial planning, portfolio management for individuals, small businesses and institutions, and the selection of other advisers; it also functions as an insurance broker. Fee arrangements are flexible and include percentage-of-AUM billing alongside hourly and fixed-fee engagements. FINTRX categorizes the firm as a capital allocator and notes it is not an active ESG investor. Excel Financial maintains industry relationships with at least an accounting firm and an insurance company, which align with its mix of planning and insurance-broker activities. The combination of direct portfolio management and selection-of-advisers capabilities points to a hybrid model that blends in-house management with allocations to outside managers.