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SECURITIES MANAGEMENT AND RESEARCH, INC., CRD 759
MARION, IA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BERTHEL FISHER & COMPANY | Shareholder | E | yes | 01/2011 | Mar 22, 2012 | Mar 22, 2012 |
| BERTHEL, THOMAS JOSEPH | Ceo | Na | yes | 01/2011 | Mar 22, 2012 | Mar 22, 2012 |
| BRENDENGEN, RONALD ODIN | CHIEF OPERATING OFFICER | Na | yes | 01/2011 | Mar 22, 2012 | Mar 22, 2012 |
| ONE FINANCIAL, INC. | Parent | E | yes | 01/2011 | Mar 22, 2012 | Mar 22, 2012 |
| DAVENPORT, SHELLEY RAE | CHIEF COMPLIANCE OFFICER | Na | no | 04/2011 | Mar 22, 2012 | Mar 22, 2012 |
| MURPHY, RICHARD MAURICE | President | Na | no | 02/2012 | Mar 22, 2012 | Mar 22, 2012 |
| SCHAUL, JOANNA MARIE | SENIOR VP OPERATING OFFICER | Na | no | 02/2012 | Mar 22, 2012 | Mar 22, 2012 |
| WEGMANN, DANIEL PETER | CFO & FINOPS | Na | no | 02/2012 | Mar 22, 2012 | Mar 22, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | n/a | Bd affiliated wealth | $906M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 22, 2012 | $3.3M | $3.3M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $3.3M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |