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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC

CRD 115416

CORALVILLE, 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:501d8b9c-9b01-22f7-49b3-da5ce5e7cabb

Data as of Sep 12, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Sep 12, 2014
10 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $66.2MItem 5.F on the latest filing (2014-09-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $66.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $33.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 2
Accounts: 395
SEC number: 801-61949
CRD: 115416
Filings on the tape: 10
First filed: Mar 29, 2012
Latest filed: Sep 12, 2014
Organised: Limited Liability Company, Iowa

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN MICHAEL CEURVORST	n/a	BURBANK, CA \| CORALVILLE, IA	26	36	n/a	no
BARBARA LINN HEIN	Certified Financial Planner	CORALVILLE, IA	8	26	3	no

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
CEURVORST, JOHN, MICHAEL	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	10/1999	Mar 29, 2012	Sep 12, 2014
CEURVORST, TAMARA, SUE	Member	B	no	10/1999	Mar 29, 2012	Sep 12, 2014

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

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
2013	Mar 12, 2014	$66.2M	$66.2M	5	2	n/a	n/a	n/a
2012	Mar 14, 2013	$59.7M	$59.7M	7	4	n/a	n/a	n/a
2011	Mar 29, 2012	$53.9M	$53.9M	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
0	0	0	0.0%	0	0	0	0	0

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
2013	$66.2M	$59.7M	10.9%	n/a	n/a	5	7	n/a	n/a

Relationships

Registered with (2)

← BARBARA LINN HEINAdvisorregistration: current employment
Sep 17, 2018 to presentfactForm ADV
← JOHN MICHAEL CEURVORSTAdvisorregistration: current employment
Jan 1, 2000 to presentfactForm ADV

Controls (1)

← CEURVORST, JOHN, MICHAELOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← CEURVORST, TAMARA, SUEOwnerMEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:501d8b9c-9b01-22f7-49b3-da5ce5e7cabb
First observed: Mar 29, 2012
Last observed: Sep 12, 2014 146 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.

FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC

CRD 115416

CORALVILLE, 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:501d8b9c-9b01-22f7-49b3-da5ce5e7cabb

Data as of Sep 12, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN MICHAEL CEURVORST

n/a

BURBANK, CA | CORALVILLE, IA

n/a

BARBARA LINN HEIN

Certified Financial Planner

CORALVILLE, IA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CEURVORST, JOHN, MICHAEL

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

10/1999

Mar 29, 2012

Sep 12, 2014

CEURVORST, TAMARA, SUE

Member

10/1999

Mar 29, 2012

Sep 12, 2014

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 12, 2014

$66.2M

n/a

2012

Mar 14, 2013

$59.7M

n/a

2011

Mar 29, 2012

$53.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$66.2M

$59.7M

10.9%

n/a