Ctb Financial Services, Ltd. (Saint Louis Park)

Name: Ctb Financial Services, Ltd.
Address: 5811 South Cedar Lake Road, Saint Louis Park, MN, 55416
Telephone: 952-546-5456

Ctb Financial Services, Ltd. is a large advisory firm based in Saint Louis Park. It manages $176.91 million of regulatory assets for 877 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Florida, Minnesota, Texas, and Wisconsin.

Ctb Financial Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ctb Financial Services: assets under management

The assets under management (AUM) of Ctb Financial Services, Ltd. is $176.91 million. The company doesn't manage any assets belonging to foreign clients.

Ctb Financial Services has custody of $6.73 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 68% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 30% of the firm’s portfolio. Investments in other assets form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ctb Financial Services, Ltd. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ozro Charles Brown serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Ozro Charles Brown is individuals with 179 clients and $105.51 million of assets under management. Among the 10 most similar advisory firms, Ctb Financial Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $174.46 million for 271 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Ctb Financial Services doesn't advise any private funds.

Careers at Ctb Financial Services, Ltd.

The company employs 10 people that are either part- or full-time employees. 30 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Ozro Charles Brown has been acting as President since 1 Oct 2006. Jonathan Wayne Liang joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jonathan Wayne Liang	Chief compliance officer	1 Oct 2006	Other	4289198
Ozro Charles Brown	President	1 Oct 2006	75% - 100%	5153371

Based in Saint Louis Park

The principal office where Ctb Financial Services, Ltd. performs its advisory services is located at 5811 South Cedar Lake Road, Saint Louis Park, MN 55416, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 952-546-5456 or by fax 952-546-7149. The normal business hours are 9 - 5 on Monday - Friday. You can find more information about the New York firm at ctbfin.com.