GRADIENT ADVISORS, LLC of ARDEN HILLS, MN is an SEC-registered investment adviser (CRD 152665). Regulatory assets under management: $289.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Tami Jean Lucius | TRUSTEE | — |
| Catherine Ann Peters | CHIEF COMPLIANCE OFFICER | — |
| Tyler Patrick Ellegard | PRESIDENT/ ELECTED MANAGER | — |
| Charles Edward Lucius | TRUSTEE | — |
| Adam Keith Estall | PRESIDENT/ ELECTED MANAGER | — |
| PETERS DOROTHY ANN | CHIEF COMPLIANCE OFFICER | — |
| SIEPMANN KLAUS HERBERT | CHIEF COMPLIANCE OFFICER | — |
| LUCIUS CHARLES EDWARD | CHIEF EXECUTIVE OFFICER; ELECTED MANAGER; MANAGING MEMBER | — |
| FOLEY JEFFREY ALLEN | ELECTED MANAGER; PRESIDENT | — |
| STECHER GREGORY JAMES | CHIEF COMPLIANCE OFFICER | — |
| ESTALL ADAM Keith | ELECTED MANAGER; PRESIDENT/ ELECTED MANAGER | — |
| Brian Andrew Remme | CHIEF COMPLIANCE OFFICER | — |
| Clarence W Knox | DIRECTOR/ELECTED MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-04-05 | regulatory | USE OF ADVERTISING MATERIALS WHICH HAVE THE CAPACITY TO BE MISLEADING. | Final | $8K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
| — | civil | — | — | — |