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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

NATIONS FINANCIAL GROUP, INC.

CRD 44181

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0dfd23cb-7111-d55b-0062-6b0537370eb3

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 171
Dated events: 34
On other graphs: 0
Observed: Mar 2, 2012 to Mar 18, 2026
40 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=79.0
Regulatory AUM: $4.8BItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.7B
Private client RAUM: $4.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 89
RAUM per advisor: $53.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 94
Advisory employees: 81
Offices: 39Schedule D 1.F, beyond the principal office
Accounts: 10,535
Individual clients: 3,900
High net worth clients: 1,625
Custody, client assets: $4.7B
SEC number: 801-57407
CRD: 44181
Filings on the tape: 40
First filed: Mar 2, 2012
Latest filed: Mar 18, 2026
Organised: Corporation, IA
Website: nationsfg.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 90

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD SCOTT BENNETT	n/a	CEDAR RAPIDS, IA	26	45	n/a	yes
EUGENE VINCENT WEHRHEIM	n/a	CEDAR RAPIDS, IA	25	39	n/a	yes
STEPHEN MICHAEL CAIRNEY	n/a	CEDAR RAPIDS, IA	24	27	n/a	yes
EUGENE VINCENT WEHRHEIM	n/a	CEDAR RAPIDS, IA	22	29	n/a	yes
WILLIAM EDWARD SHEPARD	n/a	CEDAR RAPIDS, IA	21	40	1	yes
DAVID ALAN COINER	Chartered Financial Consultant	DAVENPORT, IA	21	36	3	yes
ROBERT EVANS RUSSELL	n/a	NAPLES, FL	21	37	1	yes
MARTHA SHEPARD MCCURRY	n/a	CEDAR RAPIDS, IA	21	25	n/a	yes
NICOLLE LEANN LANDWEHR	Certified Financial Planner	SEASIDE, OR	20	30	1	yes
AARON DREW SANSTRUM	n/a	Gresham, OR	20	30	1	yes
ERIK JOHN BJORSETH	n/a	CEDAR RAPIDS, IA	20	24	n/a	yes
ROSS EUGENE DEVALOIS	n/a	IOWA CITY, IA	20	44	n/a	yes
WILLIAM EDWARD COAN	n/a	IOWA CITY, IA	19	40	n/a	yes
MICHELLE ANNE BLENDERMAN	n/a	AMES, IA	19	23	1	yes
GARY ROBERT CARLSON	n/a	URBANDALE, IA	19	41	2	yes
JORDAN PAUL BENNETT	n/a	CEDAR RAPIDS, IA	16	16	n/a	yes
ROCHELLE MARIE HENRY ERNBERGER	n/a	CEDAR RAPIDS, IA	14	34	1	yes
DEBORAH KAY JOHNSON	n/a	CEDAR RAPIDS, IA \| HIAWATHA, IA	13	41	1	yes
STEVEN MARK LOESCH	n/a	Cedar Rapids, IA	13	32	1	yes
MAX LOUIS CONDE	n/a	MANHATTAN, KS \| CEDAR RAPIDS, IA	13	29	n/a	yes
RACHEL ANN WEHRHEIM	n/a	CEDAR RAPIDS, IA	13	24	n/a	yes
BRADLEY PAUL ZWANZIGER	n/a	HIAWATHA, IA	12	16	n/a	no
MATTHEW BRENT VAWTER	n/a	CEDAR RAPIDS, IA	11	31	n/a	yes
BRIAN GRAY STEIN	n/a	CEDAR RAPIDS, IA \| Greenwood Village, CO	10	26	1	yes
RYLAN E DEVALOIS	n/a	IOWA CITY, IA	10	23	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BENNETT, RICHARD SCOTT	CEO - CFO	Na	yes	01/1998	Mar 18, 2026	Mar 18, 2026
CAIRNEY, STEPHEN MICHAEL	PRESIDENT OFFICER	Na	yes	03/2025	Mar 18, 2026	Mar 18, 2026
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	Na	yes	10/2025	Mar 18, 2026	Mar 18, 2026
NFGI HOLDING CORPORATION	HOLDING CORPORATION	E	yes	01/2014	Mar 18, 2026	Mar 18, 2026
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	Na	yes	08/2025	Mar 18, 2026	Mar 18, 2026
BENNETT, RICHARD SCOTT	Shareholder	E	yes	01/2014	Mar 2, 2012	Mar 28, 2024
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	Na	no	01/2014	Mar 2, 2012	Mar 28, 2024
BUSH, BRENDA MARIE	CHIEF COMPLIANCE OFFICER	Na	no	06/2021	Jun 25, 2021	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
EUGENE WEHRHEIM	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Lawrence	Ks	United States	6	yes
CEDAR RAPIDS	Ia	United States	5	yes
Dubuque	Ia	United States	5	yes
Wayne	Pa	United States	5	yes
Memphis	Tn	United States	4	yes
Littleton	Co	United States	3	yes
Davenport	Ia	United States	3	yes
Phoenix	Az	United States	2	yes
Scottsdale	Az	United States	2	yes
CEDAR RAPIDS	Ia	United States	2	yes
IOWA CITY	Ia	United States	2	yes
IDAHO FALLS	Id	United States	2	yes
Berwyn	Pa	United States	2	yes
Knoxville	Tn	United States	2	yes
Silverdale	Wa	United States	2	yes
Phoenix	Az	United States	1	yes
Ames	Ia	United States	1	yes
CEDAR RAPIDS	Ia	United States	1	yes
Coralville	Ia	United States	1	yes
Independence	Ia	United States	1	yes
Gresham	Or	United States	1	yes
Seaside	Or	United States	1	yes
Nashville	Tn	United States	1	yes
Arlington	TX	United States	1	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026	$4.8B	$3.7B	94	81	39	n/a	n/a
2024	Mar 31, 2025	$3.9B	$2.9B	87	87	35	n/a	n/a
2023	Mar 28, 2024	$3.4B	$2.4B	83	83	35	n/a	n/a
2022	Mar 30, 2023	$3.0B	$2.0B	85	85	40	n/a	n/a
2021	Mar 30, 2022	$2.9B	$1.8B	81	81	36	n/a	n/a
2020	Mar 30, 2021	$2.0B	$1.1B	77	77	36	n/a	n/a
2019	Mar 30, 2020	$1.5B	$862M	64	64	34	n/a	n/a
2018	Mar 29, 2019	$1.0B	$587M	57	57	33	n/a	n/a
2017	Mar 14, 2018	$1.0B	$561M	54	54	30	n/a	n/a
2016	Feb 11, 2017	$962M	$542M	56	56	n/a	n/a	n/a
2015	Mar 28, 2016	$597M	$469M	53	53	n/a	n/a	n/a
2014	Mar 30, 2015	$636M	$500M	51	51	n/a	n/a	n/a
2013	Mar 12, 2014	$569M	$458M	56	56	n/a	n/a	n/a
2012	Feb 4, 2013	$347M	$243M	52	51	n/a	n/a	n/a
2011	Mar 2, 2012	$250M	$167M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
7	9	-2	10.1%	2	1	0	16	14

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.8B	$3.9B	23.4%	$3.0B	16.6%	94	87	39	35

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	6	Apr 27, 2026	Apr 22, 2026	LAWRENCE, KS	Team lift out	RIA to ibd	6.3%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Oct 28, 2019	Oct 28, 2019	IOWA CITY, IA	Team lift out	RIA to ibd	3.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Oct 10, 2025	Oct 3, 2025	BERWYN, PA	Team lift out	Wirehouse to RIA	0.1%
REALTA INVESTMENT ADVISORS, INC	2	Sep 4, 2024	Sep 4, 2024	WILMINGTON, DE	Team lift out	Ibd to RIA	4.0%
WELLS FARGO ADVISORS	2	Jul 25, 2023	Jul 14, 2023	BERWYN, PA	Team lift out	Wirehouse to RIA	0.1%
WELLS FARGO ADVISORS	3	Dec 20, 2022	Dec 16, 2022	KNOXVILLE, TN	Team lift out	Wirehouse to RIA	0.2%
WELLS FARGO ADVISORS	3	Feb 14, 2022	Feb 17, 2022	MEMPHIS, TN	Team lift out	Wirehouse to RIA	0.2%
WELLS FARGO ADVISORS	2	Aug 23, 2021	Aug 20, 2021	IDAHO FALLS, ID	Team lift out	Wirehouse to RIA	0.1%
SUMMIT FINANCIAL GROUP INC	2	Feb 5, 2021	Feb 11, 2021	SILVERDALE, WA	Team lift out	Ibd to RIA	0.7%
WELLS FARGO ADVISORS	3	Sep 17, 2020	Sep 28, 2020	SCOTTSDALE, AZ	Team lift out	Wirehouse to RIA	0.2%
WELLS FARGO ADVISORS	3	Jul 17, 2020	Jul 20, 2020	LITTLETON, CO	Team lift out	Wirehouse to RIA	0.2%
WELLS FARGO ADVISORS	5	Sep 6, 2019	Sep 6, 2019	WAYNE, PA	Team lift out	Wirehouse to RIA	0.4%
B RILEY WEALTH MANAGEMENT	2	Jul 2, 2019	Jul 1, 2019	CHICAGO, IL	Team lift out	Ibd to RIA	1.7%
WINTRUST INVESTMENTS	2	Oct 11, 2016	Oct 11, 2016	INDEPENDENCE, IA	Team lift out	Other	2.0%

Relationships

showing 80 of 171

Registered with (80)

← Michael Patrick CoverAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← Katie Michelle MetcalfAdvisorregistration: current employment
Jun 11, 2026 to presentfactForm ADV
← CHRISTIE MCCOYAdvisorregistration: current employment
Apr 9, 2026 to presentfactForm ADV
← Andrew SadlerAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← Kristina Lynn HarrisAdvisorregistration: current employment
Dec 8, 2025 to presentfactForm ADV
← GARY HUGH COSTARELLAAdvisorregistration: current employment
Nov 7, 2025 to presentfactForm ADV
← EDWARD JOHN RUSNAKAdvisorregistration: current employment
Nov 7, 2025 to presentfactForm ADV
← CHAD BENJAMIN FRIEDMANAdvisorregistration: current employment
Oct 3, 2025 to presentfactForm ADV
← ROBERT PAUL FRIEDMANAdvisorregistration: current employment
Oct 2, 2025 to presentfactForm ADV
← BRIAN DOUGHNEYAdvisorregistration: current employment
Aug 11, 2025 to presentfactForm ADV
← Jacob WilliamsAdvisorregistration: current employment
May 5, 2025 to presentfactForm ADV
← Joseph R SchuesslerAdvisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← Crystal M WalterAdvisorregistration: current employment
Apr 1, 2025 to presentfactForm ADV
← Joena RussellAdvisorregistration: current employment
Mar 13, 2025 to presentfactForm ADV
← Roman Savage LeniwAdvisorregistration: current employment
Sep 4, 2024 to presentfactForm ADV
← Frank M CalabreseAdvisorregistration: current employment
Sep 3, 2024 to presentfactForm ADV
← Elizabeth Marie PaganoAdvisorregistration: current employment
Aug 20, 2024 to presentfactForm ADV
← GREGORY STIMSON WOLFEAdvisorregistration: current employment
Aug 14, 2024 to presentfactForm ADV
← Ben SheridanAdvisorregistration: current employment
Jun 17, 2024 to presentfactForm ADV
← Christopher Grant ClausonAdvisorregistration: current employment
Jan 19, 2024 to presentfactForm ADV
← WYATT KELLYAdvisorregistration: current employment
Jan 4, 2024 to presentfactForm ADV
← Heather Michelle CoxAdvisorregistration: current employment
Dec 22, 2023 to presentfactForm ADV
← THOMAS JOSEPH MCGROARTYAdvisorregistration: current employment
Jul 14, 2023 to presentfactForm ADV
← MATTHEW THOMAS MCGROARTYAdvisorregistration: current employment
Jul 13, 2023 to presentfactForm ADV
← ZACH COINERAdvisorregistration: current employment
Jun 29, 2023 to presentfactForm ADV
← NATHANAEL J PFEILAdvisorregistration: current employment
Jun 2, 2023 to presentfactForm ADV
← JOHN WESLEY WILKESAdvisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← MICHELLE LEE PALMERAdvisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← KYLE JAMES GRIFFINAdvisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← Craig M SchlueterAdvisorregistration: current employment
Oct 27, 2022 to presentfactForm ADV
and 50 more

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 30, 2026
Advisor changed firm
Patrick Hardie left Nations Financial Group, Inc. for Bip Wealth, Llc (registered 2026-07-29)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Team lift-out
6 advisors left Nations Financial Group, Inc. (Lawrence, KS) for LPL Financial LLC on the same day
Form ADVobserved 4 days ago
6 advisors
Occurred
Apr 27, 2026
Advisor changed firm
Van Michael Schaffer left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Douglas Lyle Stephens left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Jennifer Greer left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Nicholas Bennett left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Malcom Ong left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Douglas Duane Bennett left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Brent Herman Hoffman left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)
Form ADVobserved 4 days ago
Occurred
Dec 12, 2025
Advisor changed firm
Lucas Scott Gray left Nations Financial Group, Inc. for Bfc Planning, Inc. (registered 2025-12-16)
Form ADVobserved 4 days ago
Occurred
Oct 10, 2025
Team lift-out
2 advisors left Wells Fargo Advisors (Berwyn, PA) for Nations Financial Group, Inc. within 5 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Mar 24, 2025
Advisor changed firm
Patrick Arthur Trimp left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2025-03-24)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2025
Advisor changed firm
Jack Dillon Trimp left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2025-03-24)
Form ADVobserved 4 days ago
Occurred
Oct 22, 2024
Advisor changed firm
Matthew Arthur Tarini left Nations Financial Group, Inc. for Focused Alpha, Llc (registered 2024-10-30)
Form ADVobserved 4 days ago
Occurred
Oct 11, 2024
Advisor changed firm
Jon Kenneth Wych left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2024-10-14)
Form ADVobserved 4 days ago
Occurred
Sep 4, 2024
Team lift-out
2 advisors left Realta Investment Advisors, Inc (Wilmington, DE) for Nations Financial Group, Inc. a day apart
Form ADVobserved 4 days ago
2 advisors
Occurred
Nov 8, 2023
Advisor changed firm
Jeffrey R Lashley left Nations Financial Group, Inc. for Lashley Wealth Management (registered 2023-10-17)
Form ADVobserved 4 days ago
Occurred
Jul 25, 2023
Team lift-out
2 advisors left Wells Fargo Advisors (Berwyn, PA) for Nations Financial Group, Inc. on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jul 17, 2023
Advisor changed firm
Paula Dee Porsch left Nations Financial Group, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)
Form ADVobserved 4 days ago
Occurred
Jun 22, 2023
Advisor changed firm
Cassidy J Moulton left Nations Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2023-06-20)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Nicholas James Daleiden left Nations Financial Group, Inc. for Daleiden Wealth Advisors (registered 2023-02-02)
Form ADVobserved 4 days ago
Occurred
Dec 20, 2022
Team lift-out
3 advisors left Wells Fargo Advisors (Knoxville, TN) for Nations Financial Group, Inc. on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Aug 16, 2022
Advisor changed firm
Robert A. Schutzius left Nations Financial Group, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-07)
Form ADVobserved 4 days ago
Occurred
Apr 12, 2022
Advisor changed firm
Anthony Vito Berardi left Nations Financial Group, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-10)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Nations Financial Group, Inc. reported RAUM $2.9B, up 50% from $2.0B (2022-03-03 to 2022-03-30)
Form ADVobserved 4 days ago
$981M
Occurred
Mar 2, 2022
Advisor changed firm
Matthew Donald Shannahan left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2022-03-01)
Form ADVobserved 4 days ago
Occurred
Feb 14, 2022
Team lift-out
3 advisors left Wells Fargo Advisors (Memphis, TN) for Nations Financial Group, Inc. on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 30, 2021
Regulatory AUM changed
Nations Financial Group, Inc. reported RAUM $2.0B, up 27% from $1.5B (2021-03-22 to 2021-03-30)
Form ADVobserved 4 days ago
$421M
Occurred
Mar 30, 2020
Regulatory AUM changed
Nations Financial Group, Inc. reported RAUM $1.5B, up 48% from $1.0B (2019-03-29 to 2020-03-30)
Form ADVobserved 4 days ago
$500M

Show 5 bookkeeping events

First seen by DFX
Sep 19, 2026
date not stated
Brian Gray Stein no longer holds an investment adviser registration (last listed at Nations Financial Group, Inc. on the 2026-09-18 feed)
Occurred
Sep 15, 2026
Andrew Michael Bass registered as an investment adviser representative at Nations Financial Group, Inc.
Occurred
Mar 28, 2024
Nations Financial Group, Inc. reported 35 offices beyond its principal office, down from 40 (2023-09-06 to 2024-03-28)
Occurred
Mar 30, 2021
Nations Financial Group, Inc. reported 77 state-registered advisory representatives, up from 64 (2021-03-22 to 2021-03-30)
Occurred
Mar 14, 2018
Nations Financial Group, Inc. reported 54 state-registered advisory representatives, up from 10 (2017-03-30 to 2018-03-14)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0dfd23cb-7111-d55b-0062-6b0537370eb3
First observed: Mar 2, 2012
Last observed: Mar 18, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NATIONS FINANCIAL GROUP, INC.

CRD 44181

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0dfd23cb-7111-d55b-0062-6b0537370eb3

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:02 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD SCOTT BENNETT

n/a

CEDAR RAPIDS, IA

n/a

yes

EUGENE VINCENT WEHRHEIM

n/a

CEDAR RAPIDS, IA

n/a

yes

STEPHEN MICHAEL CAIRNEY

n/a

CEDAR RAPIDS, IA

n/a

yes

EUGENE VINCENT WEHRHEIM

n/a

CEDAR RAPIDS, IA

n/a

yes

WILLIAM EDWARD SHEPARD

n/a

CEDAR RAPIDS, IA

yes

DAVID ALAN COINER

Chartered Financial Consultant

DAVENPORT, IA

yes

ROBERT EVANS RUSSELL

n/a

NAPLES, FL

yes

MARTHA SHEPARD MCCURRY

n/a

CEDAR RAPIDS, IA

n/a

yes

NICOLLE LEANN LANDWEHR

Certified Financial Planner

SEASIDE, OR

yes

AARON DREW SANSTRUM

n/a

Gresham, OR

yes

ERIK JOHN BJORSETH

n/a

CEDAR RAPIDS, IA

n/a

yes

ROSS EUGENE DEVALOIS

n/a

IOWA CITY, IA

n/a

yes

WILLIAM EDWARD COAN

n/a

IOWA CITY, IA

n/a

yes

MICHELLE ANNE BLENDERMAN

n/a

AMES, IA

yes

GARY ROBERT CARLSON

n/a

URBANDALE, IA

yes

JORDAN PAUL BENNETT

n/a

CEDAR RAPIDS, IA

n/a

yes

ROCHELLE MARIE HENRY ERNBERGER

n/a

CEDAR RAPIDS, IA

yes

DEBORAH KAY JOHNSON

n/a

CEDAR RAPIDS, IA | HIAWATHA, IA

yes

STEVEN MARK LOESCH

n/a

Cedar Rapids, IA

yes

MAX LOUIS CONDE

n/a

MANHATTAN, KS | CEDAR RAPIDS, IA

n/a

yes

RACHEL ANN WEHRHEIM

n/a

CEDAR RAPIDS, IA

n/a

yes

BRADLEY PAUL ZWANZIGER

n/a

HIAWATHA, IA

n/a

MATTHEW BRENT VAWTER

n/a

CEDAR RAPIDS, IA

n/a

yes

BRIAN GRAY STEIN

n/a

CEDAR RAPIDS, IA | Greenwood Village, CO

yes

RYLAN E DEVALOIS

n/a

IOWA CITY, IA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BENNETT, RICHARD SCOTT

CEO - CFO

yes

01/1998

Mar 18, 2026

CAIRNEY, STEPHEN MICHAEL

PRESIDENT OFFICER

yes

03/2025

Mar 18, 2026

KROUSIE, TRACEY LYNN

CHIEF OPERATIONS OFFICER

yes

10/2025

Mar 18, 2026

NFGI HOLDING CORPORATION

HOLDING CORPORATION

yes

01/2014

Mar 18, 2026

REIGHARD-KEAN, VICKI LIN

CHIEF COMPLIANCE OFFICER

yes

08/2025

Mar 18, 2026

BENNETT, RICHARD SCOTT

Shareholder

yes

01/2014

Mar 2, 2012

Mar 28, 2024

BJORSETH, ERIK JOHN

CHIEF GROWTH OFFICER

01/2014

Mar 2, 2012

Mar 28, 2024

BUSH, BRENDA MARIE

CHIEF COMPLIANCE OFFICER

06/2021

Jun 25, 2021

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EUGENE WEHRHEIM

n/a

City

State

Country

Employees

Also broker-dealer

Lawrence

United States

yes

CEDAR RAPIDS

United States

yes

Dubuque

United States

yes

Wayne

United States

yes

Memphis

United States

yes

Littleton

United States

yes

Davenport

United States

yes

Phoenix

United States

yes

Scottsdale

United States

yes

CEDAR RAPIDS

United States

yes

IOWA CITY

United States

yes

IDAHO FALLS

United States

yes

Berwyn

United States

yes

Knoxville

United States

yes

Silverdale

United States

yes

Phoenix

United States

yes

Ames

United States

yes

CEDAR RAPIDS

United States

yes

Coralville

United States

yes

Independence

United States

yes

Gresham

United States

yes

Seaside

United States

yes

Nashville

United States

yes

Arlington

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$4.8B

$3.7B

n/a

2024

Mar 31, 2025

$3.9B

$2.9B

n/a

2023

Mar 28, 2024

$3.4B

$2.4B

n/a

2022

Mar 30, 2023

$3.0B

$2.0B

n/a

2021

Mar 30, 2022

$2.9B

$1.8B

n/a

2020

Mar 30, 2021

$2.0B

$1.1B

n/a

2019

Mar 30, 2020

$1.5B

$862M

n/a

2018

Mar 29, 2019

$1.0B

$587M

n/a

2017

Mar 14, 2018

$1.0B

$561M

n/a

2016

Feb 11, 2017

$962M

$542M

n/a

2015

Mar 28, 2016

$597M

$469M

n/a

2014

Mar 30, 2015

$636M

$500M

n/a

2013

Mar 12, 2014

$569M

$458M

n/a

2012

Feb 4, 2013

$347M

$243M

n/a

2011

Mar 2, 2012

$250M

$167M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

10.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$4.8B

$3.9B

23.4%

$3.0B

16.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Apr 27, 2026

Apr 22, 2026

LAWRENCE, KS

Team lift out

RIA to ibd

6.3%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Oct 28, 2019

IOWA CITY, IA

Team lift out

RIA to ibd

3.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Oct 10, 2025

Oct 3, 2025

BERWYN, PA

Team lift out

Wirehouse to RIA

0.1%

REALTA INVESTMENT ADVISORS, INC

Sep 4, 2024

WILMINGTON, DE

Team lift out

Ibd to RIA

4.0%

WELLS FARGO ADVISORS

Jul 25, 2023

Jul 14, 2023

BERWYN, PA

Team lift out

Wirehouse to RIA

0.1%

WELLS FARGO ADVISORS

Dec 20, 2022

Dec 16, 2022

KNOXVILLE, TN

Team lift out

Wirehouse to RIA

0.2%

WELLS FARGO ADVISORS

Feb 14, 2022

Feb 17, 2022

MEMPHIS, TN

Team lift out

Wirehouse to RIA

0.2%

WELLS FARGO ADVISORS

Aug 23, 2021

Aug 20, 2021

IDAHO FALLS, ID

Team lift out

Wirehouse to RIA

0.1%

SUMMIT FINANCIAL GROUP INC

Feb 5, 2021

Feb 11, 2021

SILVERDALE, WA

Team lift out

Ibd to RIA

0.7%

WELLS FARGO ADVISORS

Sep 17, 2020

Sep 28, 2020

SCOTTSDALE, AZ

Team lift out

Wirehouse to RIA

0.2%

WELLS FARGO ADVISORS

Jul 17, 2020

Jul 20, 2020

LITTLETON, CO

Team lift out

Wirehouse to RIA

0.2%

WELLS FARGO ADVISORS

Sep 6, 2019

WAYNE, PA

Team lift out

Wirehouse to RIA

0.4%

B RILEY WEALTH MANAGEMENT

Jul 2, 2019

Jul 1, 2019

CHICAGO, IL

Team lift out

Ibd to RIA

1.7%

WINTRUST INVESTMENTS

Oct 11, 2016

INDEPENDENCE, IA

Team lift out

Other

2.0%