Dylan H. Seubert

NORTHROCK PARTNERS

Appleton, WI 54913

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CRD#: 5679927

Professional summary

Dylan Henning Seubert, CFP®, CIMA®, CPWA®, who also goes by Dylan H Seubert, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Appleton, Wisconsin.

Dylan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Dylan has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dylan H Seubert

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.

REACH Counseling; Not Investment Related; 159 South Commercial Street, Neenah, WI 54956; Sexual assault service provider for children and adults that offers culturally responsive outreach, prevention and education; Board Member; 2 hours; offer guidance on their strategic planning and added guidance to the finance committee; Maintains current Wisconsin insurance license for Accident & Health, Life and Variable Contracts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Henning Seubert'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

Start date: 2013

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-03-21

Expire date: 2025-08-31

Experience

Current

February 4, 2022 - Present

NORTHROCK PARTNERS, LLC

Office #1: 4915 West Grande Market Drive, Appleton, WI 54913

RIA

CRD#: 167908

Appleton, WI

Past

June 2, 2017 - February 18, 2022

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

APPLETON, WI

Past

June 2, 2017 - February 18, 2022

RBC CAPITAL MARKETS, LLC

CRD#: 31194

APPLETON, WI

Past

April 3, 2012 - June 13, 2017

RUSSELL INVESTMENTS

RIA

CRD#: 105734

Milwaukee, WI

Past

April 3, 2012 - June 13, 2017

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

MILWAUKEE, WI

Past

August 24, 2011 - March 30, 2012

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

MILWAUKEE, WI

Past

August 24, 2011 - March 30, 2012

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

MILWAUKEE, WI

Past

June 2, 2010 - August 12, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BROOKFIELD, WI

Past

April 29, 2010 - August 12, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BROOKFIELD, WI

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".

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 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

California
(2/9/2024)

IAR

Illinois
(1/6/2023)

IAR

Minnesota
(1/6/2023)

IAR

North Carolina
(2/9/2024)

IAR

Wisconsin
(2/4/2022)

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: 6/1/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/2010

General Securities Representative Examination

Current Firm

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

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Contact information

Main Address

225 South Sixth Street Suite 1400, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 367-8800

Established

Firm type

Fiscal year end

# of Employees

161

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)

NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	12,834
AUM (Assets Under Management)	$ 6,596,242,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/05/2024	Cover Page	Report
01/29/2024	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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Advisor Monitoring

Firm Stability Insights

Dylan H. Seubert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Henning Seubert's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORTHROCK PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2010

Current Firm

NORTHROCK PARTNERS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHROCK PARTNERS, LLC

TRUST BUT VERIFY

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