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They include 596 individual clients, 401 high-net-worth individuals and 1 investment company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Split Rock Private Trading and Wealth Management offer?","answer":"Split Rock Private Trading and Wealth Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Split Rock Private Trading and Wealth Management charge?","answer":"Split Rock Private Trading and Wealth Management charges 1.25%–1.75% a year for its Separately Managed Accounts. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A, filed 21 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Split Rock Private Trading and Wealth Management use?","answer":"Split Rock Private Trading and Wealth Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $224M and Trade-PMR Inc. (Gainesville, FL), with $65.2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Split Rock Private Trading and Wealth Management have?","answer":"Split Rock Private Trading and Wealth Management has 5 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Split Rock Private Trading and Wealth Management invest in?","answer":"At the end of its last fiscal year, Split Rock Private Trading and Wealth Management’s separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Split Rock Private Trading and Wealth Management?","answer":"Split Rock Private Trading and Wealth Management’s direct owners are Tyler Kocon (50% to 75%) and Mark Cool (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Split Rock Private Trading and Wealth Management get paid?","answer":"Split Rock Private Trading and Wealth Management is paid through a percentage of assets under management. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}