9AT: WORK OPTIONAL, INC.

Adviser Profile

As of Date	10/08/2023
Registration status	Terminated
ADV Location	PLYMOUTH, MN, United States
Contact Info	952 xxxxxxx
Websites

AUM^*	172,641,228 -6%
of that, discretionary	166,832,346 -7%
Number of Employees	3 -63%
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	162,562 -11%
% High Net Worth	13.31% 169%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser NORTHSTAR FINANCIAL COMPANIES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM519.0m	#Funds-
Adviser PORTLAND PRIVATE WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM235.4m	#Funds-
Adviser COMPASS ROSE PRIVATE INVESTMENT MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM104.0m	#Funds-
Adviser CHELSEA ADVISORY SERVICES, INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM147.4m	#Funds-
Adviser FINANCIAL NETWORK WEALTH ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM515.4m	#Funds-
Adviser SEROS WEALTH PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM359.2m	#Funds-
Adviser CAPITAL AND PLANNING, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM193.9m	#Funds-
Adviser EVEREST FINANCIAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser BMS FINANCIAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM388.0m	#Funds-
Adviser WILLIAMS FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM209.9m	#Funds-

Brochure Summary

Overview

Ownership Work Optional, Inc. (“Advisor” or “we”) is an investment advisor who is registered with the Securities and Exchange Commission (SEC) and has been registered with the SEC since June 2018. Previously, we were registered with the Minnesota Department of Commerce from May 2012 to June 2018. We are a Minnesota corporation and our sole owner is Marc D. Langva. General Description of Primary Advisory Services We offer asset management services and consulting services. We also offer retirement plan consulting services to retirement plan sponsors and to individual participants in retirement plans. A detailed description of our asset management services, consulting services and retirement plan consulting services is provided in Item 5, Fees and Compensation, so that clients and prospective clients (“client” or “you”) can review the services and description of fees more thoroughly. Limits Advice to Certain Types of Investments We provide investment advice on the following types of investments:
• Exchange-listed securities
• Securities traded over-the-counter
• Foreign issues
• Warrants
• Corporate debt securities (other than commercial paper)
• Commercial paper
• Certificates of deposit
• Variable annuities
• Variable life insurance
• Mutual fund shares
• United States government securities
•

Interests in partnerships investing in real estate and oil and gas interests Although our advice is generally limited to the investment products listed above, we reserve the right to advise clients on any investment product that may fit their specific needs, desires or objectives. Please refer to Item 8, Methods of Analysis, Investment Strategies and Risk of Loss, for more information. Tailor Advisor Services to Individual Needs of Clients Our services are always provided based on the specific needs of the individual client. Clients are given the ability to impose restrictions on their accounts, including specific investment selections and sectors. However, we may not be able to enter into an investment advisor relationship where the prospective client seeks to impose unduly restrictive investment guidelines. Wrap-Fee Program versus Portfolio Management Program In traditional management programs, advisory services are provided for a fee but transaction services are billed separately on a per-transaction basis. In wrap-fee programs, advisory services and transaction services are provided for one fee. We do not act as a portfolio manager of or sponsor wrap fee programs. Client Assets Managed by Advisor The amount of clients’ assets managed by us totaled $172,641,228 as of December 31, 2022, with $166,832,346 managed on a discretionary basis and $5,808,882 managed on a non-discretionary basis.

WORK OPTIONAL, INC.

WORK OPTIONAL, INC.

FINANCIAL FREEDOM, INC.

FREEDOM ADVISORS, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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WORK OPTIONAL, INC. WORK OPTIONAL, INC. FINANCIAL FREEDOM, INC. FREEDOM ADVISORS, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

WORK OPTIONAL, INC.

WORK OPTIONAL, INC.

FINANCIAL FREEDOM, INC.

FREEDOM ADVISORS, INC.