Superior Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$112,181,935
Clients
120
25% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
120
Very HighAverage account size
$934,849
About
Superior Financial provides ongoing wealth management, discretionary portfolio management, and financial planning to individuals and high-net-worth clients, along with a subscription planning product (NEOS Planning) for higher-income clients with limited investable assets and a standalone Financial Review engagement. The firm reports managing about $112 million for roughly 120 clients and delivers planning and implementation services tied to each client’s investment policy and goals.
The firm’s investment process emphasizes strategic asset allocation, broad diversification, low-cost and tax-aware investment choices, and periodic rebalancing to maintain target allocations. For qualified clients, portfolios may also include less liquid alternative investments (including non-traded REITs and interval funds) and option strategies (covered calls), and the firm generally directs accounts to a recommended custodian for execution and custody.
Distinctive aspects include the firm’s scale of assets relative to its client base and operational footprint, and the NEOS Planning offering that targets higher-income clients who have not yet reached the firm’s wealth-management asset threshold. The brochure also notes recent filing for SEC registration, an explicit stance against accepting third‑party sales compensation, and a stated decision not to participate in wrap fee programs.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Retirement income strategy
Social Security optimization
Tax strategies for small businesses
Retirement withdrawal strategies
Fee options
Financial Review Service Fee: $2,500
$0 - $500,000: 0.95% $500,001 - $1,000,000: 0.65% $1,000,001+: 0.45%
Additional questions after Financial Review at hourly fee; exact rate not specified.
Neos Planning: $300 per month
Account minimum: $500,000 Fee-only: Wealth Management, Neos Planning, Financial Review are fee-only services with no commissions.
Main office location
Superior Financial, LLC
3265 19 Th Street Nw, Suite 320
Rochester MN 55901, United States
Number of offices
2
Most active in
Superior Financial, LLC has reported serving >5 clients in these states in the last 12 months.
Minnesota · Texas · Wisconsin
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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