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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Rachel Ann Pease

Rachel A. Pease

VANTAGE FINANCIAL PARTNERS | Financial Advisor
Youngstown, OH 44512
Some features on this profile are disabled
CRD#: 6185938
Rachel Ann Pease

Professional summary

Rachel Ann Pease, who also goes by Ann Rachel Brandle, Rachel A Brandle, Rachel Ann Brandle, Rachel Brandle, is a registered financial advisor currently at VANTAGE FINANCIAL PARTNERS, LLC located in Youngstown, Ohio and NORTHROCK PARTNERS, LLC located in Youngstown, Ohio.

Rachel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Rachel has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

What are your service offerings?
Investments
Retirement Planning Strategies
Wealth Preservation Strategies
Are you a "fiduciary"?
Yes

Aliases

Ann Rachel Brandle | Rachel A Brandle | Rachel Ann Brandle | Rachel Brandle

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Ann Pease'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®
None

Experience

Current

October 30, 2023 - Present

VANTAGE FINANCIAL PARTNERS, LLC

Office #1: 970 Windham Ct Suite 1a, Youngstown, OH 44512
RIA
CRD#: 315828
Youngstown, OH
Current

April 1, 2026 - Present

NORTHROCK PARTNERS, LLC

Office #1: 970 Windham Ct. Suite 1a, Youngstown, OH 44512
RIA
CRD#: 167908
Youngstown, OH
Past

February 12, 2021 - November 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Youngstown, OH
Past

October 8, 2020 - November 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Youngstown, OH
Past

May 30, 2013 - October 1, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
EAST LIVERPOOL, OH

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
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
Ohio
(10/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/4/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/23/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/2/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/13/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHROCK PARTNERS, LLC
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts12,834
AUM (Assets Under Management)$ 6,596,242,797

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC

Financial AdvisorCRD#: 167908Youngstown, OH 44512

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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