Great Waters Financial
Firm details
- Headquarters
- Shoreview, Minnesota
- CRD number
- 308215
- Registered since
- March 28, 2022
- Website
- greatwatersfinancial.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI62.66%
- Individuals37.27%
- Charitable Organizations0.05%
- Corporations / Businesses0.01%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Great Waters Financial is an independent, LLC-structured registered investment adviser that began its SEC registration in 2022. The firm serves individual and family clients and presents itself as a hybrid adviser/insurance broker, combining financial planning and portfolio management with insurance distribution. Its advisory services span financial planning, discretionary portfolio management for individuals and small businesses, separate account selection of outside managers, and educational seminars. Fee arrangements include percent-of-AUM billing alongside hourly and fixed-fee engagements. The firm identifies as a capital allocator and characterizes itself as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds90%
- Exchange Traded Equities6%
- Cash & Cash Equivalents4%
Owners & executives
2 of 2
Michael Palumbo
CEOCRD 6272553
Maya Arseneau
Chief of StaffCRD 7862507
Contacts
3 of 26
Matthew Schwartz
AdvisorCRD 5904956
Taylor Hegna
Planning SpecialistCRD 7030291
Devon Johnson
Client Experience AdvisorCRD 7137968
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 63Active vs passive
$1B in ETFs
8%
$85.4M
92%
$956M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| DIMENSIONAL US EQUITY MARKET ETF (DFUS) | Dimensional | Active | Large Blend | $259M | 3,114,270 | 24.84% |
Location
Shoreview, MN
Ramsey
Location
Shoreview, MN
Headquartered in Shoreview, MN, anchoring the Minneapolis-St. Paul, MN-WI metro in the Midwest.
- Metro area
- Minneapolis-St. Paul, MN-WI
- Region
- Midwest
- County
- Ramsey
- Address
- 4100 Lexington Ave N
- Time zone
- CT (UTC-6)
- Office locations
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