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Thomas Ottman
44 Years of Experience
Blaine, MN
5 Disclosures
Thomas Ottman is a registered investment advisor at Aquinas Capital Advisors LLC, based in Blaine, MN, with 44 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 90 clients with $8.5M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
90 clients
Average Client Portfolio
$94K average
Assets Under Management
$8.5M
Fee Structure
Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.25% |
| $100K+ | 1.25% |
Fees are negotiable for amounts over $100,000. Accounts within the same household may be combined for a reduced fee.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Blaine, MN
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2015Final
Customer Dispute
October 2012Settled
Employment Separation After Allegations
September 2012Customer Dispute
April 2001Settled
Customer Dispute
November 1983Award / Judgment
Employment History
Current Registrations
Aquinas Capital Advisors LLC
May 2016 - Present · 10 yrs
Previous Registrations
Advanced Advisor Group, LLC
November 2013 - May 2016 · 2 yrs 6 mos
Efs Advisors
July 2013 - May 2016 · 2 yrs 10 mos
Advanced Advisor Group, LLCBroker
October 2012 - May 2016 · 3 yrs 7 mos
Benjamin F. Edwards & Company, INC.Broker
September 2012 - September 2012 · 0 mos
Feltl & CompanyBroker
October 2003 - September 2012 · 8 yrs 11 mos
Wachovia Securities, LLCBroker
July 2003 - October 2003 · 3 mos
Prudential Securities IncorporatedBroker
December 1999 - July 2003 · 3 yrs 7 mos
Painewebber IncorporatedBroker
February 1998 - December 1999 · 1 yr 10 mos
Principal Financial Securities,inc.Broker
February 1996 - March 1998 · 2 yrs 1 mo
Dean Witter Reynolds INC.Broker
December 1993 - February 1996 · 2 yrs 2 mos
Everen Securities, INC.Broker
September 1992 - December 1993 · 1 yr 3 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
February 1992 - September 1992 · 7 mos
Robert W. Baird & CO. IncorporatedBroker
September 1981 - February 1992 · 10 yrs 5 mos
State Registrations1 state
MN
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.