Kathleen J. Nelson

SILVEROAK WEALTH MANAGEMENT LLC

Edina, MN 55435

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CRD#: 4387727

Professional summary

Kathleen Jean Nelson, CFP®, who also goes by Kathleen Nelson, Kathleen Peine, is a registered financial advisor currently at SILVEROAK WEALTH MANAGEMENT LLC located in Edina, Minnesota.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Kathleen has worked at 1 firm and has passed the Series 66 exam.

Question & Answer

Do you have an area of expertise or specialization?

AUM

Baby Boomers

Business Owners

Cash Flow/Budgets/Credit Issue...

Charitable Giving

College/Education Planning

Are you a "fiduciary"?

Yes

Aliases

Kathleen Nelson | Kathleen Peine

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Partner of inactive business, Moquist Thorvilson & Kaufmann (Accounting firm)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Jean Nelson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 27, 2017 - Present

SILVEROAK WEALTH MANAGEMENT LLC

Office #1: 3600 Minnesota Drive Suite 860, Edina, MN 55435

RIA

CRD#: 110532

Edina, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SILVEROAK WEALTH MANAGEMENT LLC

CRD#: 110532 / SEC#: 801-60208

RIA

Registered Investment Advisory firm - (4/27/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(6/27/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/1999

Uniform Combined State Law Examination

Current Firm

SILVEROAK WEALTH MANAGEMENT LLC

CRD#: 110532 / SEC#: 801-60208

RIA

Registered Investment Advisory firm - (4/27/2001 Approved)

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Contact information

Main Address

3600 Minnesota Drive Suite 860, Edina, MN 55435

Mailing Address

Phone number

(952) 896-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SILVEROAK ADV PART 2 (2025-03) (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,891
AUM (Assets Under Management)	$ 1,716,893,376

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2024	Cover Page	Report
11/27/2023	Cover Page	Report
09/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Kathleen J. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Jean Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVEROAK WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

SILVEROAK WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/1999

Current Firm

SILVEROAK WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SILVEROAK WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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