SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Financial Perspectives
Minneapolis, MN
Financial Perspectives, Inc., CRD 135549
Firm filing updated March 25, 2026 ·
- $1.2BAssets
- 737Clients
- 14Advisory staff
- 1,852Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals425
- High net worth individuals309
- Charities2
- Corporations or other businesses1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 425 | $114.8 million |
| High net worth individuals | 309 | $1.0 billion |
| Charitable organizations | 2 | $6.0 million |
| Corporations or other businesses not listed above | 1 | $2,156 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other: "RETIREMENT PLAN CONSULTING"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other: "RETIREMENT PLAN CONSULTING"
Assets and accounts
- Regulatory assets$1.2 billion
- Accounts1,852
- Discretionary$1.2 billion · 1,848 accounts
- Non-discretionary$1.3 million · 4 accounts
People
- Employees14
- Advisory staff14
- Broker-dealer reps11
- Licensed insurance agents6
- Planning clients11 to 25
Advisors
8 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Financial Perspectives, Inc. SEC-registered investment advisor. CRD 135549, SEC file 801-97343.
- Registered with the SEC as an investment advisor (status date on record: June 2, 2015).
Is Financial Perspectives a fiduciary?
Short answer: Financial Perspectives is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 11 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
6 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.