Split Rock Private Trading And Wealth Management Llc
- Regulatory AUM
- $356M
- Discretionary
- $349M
- Clients
- 998
- Avg AUM / client
- $357K
- Accounts
- 2,084
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Apr 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 596 | $166M | 46.5% |
| High net worth individuals | 401 | $130M | 36.4% |
| Investment companies | 1 | $53.7M | 15.1% |
| Pension and profit sharing plans | Fewer than 5 clients | $7.3M | 2.06% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tyler Allen Kocon | Managing Member | Dec 2009 (17y) | 50% – 75% | |
| Mark Joseph Cool | Managing Member & Chief Compliance Officer | Jan 2013 (14y) | 50% – 75% | |
| Kelly Ann Johnson | Registered representative | Mar 2014 (12y) | ||
| Dale Alan Anich | Registered representative | May 2020 (6y) | ||
| Jedd Anich | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/20/2026 | 946 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $224M (63% of AUM) Apr 2026
- TradePMR $65.2M (18% of AUM) Apr 2026
- Interactive Brokers $36.2M (16% of AUM) May 2024
- Employee Fiduciary $1.8M (1% of AUM) Jan 2021
- Aspire Financial Services Llc $700K (1% of AUM) Sep 2021
- Jackson National Life Insurance $500K (0% of AUM) Sep 2021
- Jefferson National Financial $500K (0% of AUM) Sep 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 20, 2026.
View current Form ADV (SEC/IAPD) ↗