DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MIDWEST FINANCIAL

JOHNSON MIDWEST FINANCIAL, LLC, CRD 169855

GLIDDEN, 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:811f1717-bc14-8473-aad2-acdd31cbfc46

Data as of Jun 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Mar 11, 2014 to Jun 29, 2023
22 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: $205MItem 5.F on the latest filing (2023-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $205M
Private client RAUM: $202MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,758
Individual clients: 473
High net worth clients: 151
Custody, client assets: $2.2M
SEC number: 801-108853
CRD: 169855
Filings on the tape: 22
First filed: Mar 11, 2014
Latest filed: Jun 29, 2023
Organised: Limited Liability Company, Iowa

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
JOHNSON, BRIAN, DALE	MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER	E	yes	04/2014	Mar 11, 2014	Jun 29, 2023
JOHNSON, JEREMIAH	Owner	B	no	02/2022	Feb 18, 2022	Jun 29, 2023

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	Private funds	Fund GAV
2022	Feb 24, 2023	$205M	$205M	4	1	n/a	n/a
2021	Feb 18, 2022	$223M	$222M	4	1	n/a	n/a
2020	Feb 18, 2021	$183M	$183M	5	2	n/a	n/a
2019	Feb 6, 2020	$151M	$150M	5	1	n/a	n/a
2018	Jan 29, 2019	$133M	$133M	4	1	n/a	n/a
2017	Mar 5, 2018	$135M	$135M	5	1	n/a	n/a

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
2022	$205M	$223M	-7.9%	$151M	10.8%	4	4	0	0

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
MODERN WEALTH MANAGEMENT, LLC	2	Dec 31, 2023	Sep 1, 2023	GLIDDEN, IA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← JOHNSON, BRIAN, DALEOwnerMANAGING MEMBER/ CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 11, 2014 to presentfactForm ADV

Owns (1)

← JOHNSON, JEREMIAHOwnerOWNER, ownership code B, individual
Feb 18, 2022 to presentfactForm ADV

Registered with (2)

← BRIAN DALE JOHNSONAdvisorregistration: previous registration
Apr 1, 2014 to Dec 31, 2023factForm ADV
← JEREMIAH JOHNSONAdvisorregistration: previous registration
Feb 5, 2021 to Dec 31, 2023factForm ADV

Moved with (1)

→ MODERN WEALTH MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2023 to Sep 1, 2023factForm ADV

Dated events

Occurred
Dec 31, 2023
Team lift-out
2 advisors left Midwest Financial (Glidden, IA) for Modern Wealth Management, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Dec 31, 2023
Advisor changed firm
Jeremiah Johnson left Midwest Financial for Modern Wealth Management, Llc (registered 2023-09-01)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Brian Dale Johnson left Midwest Financial for Modern Wealth Management, Llc (registered 2023-09-01)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2022
Control person left
Joann Johnson (Minority Owner) no longer on Schedule A of Midwest Financial (listed 2021-05-20, absent 2022-02-18)
Form ADVobserved 6 days ago
Occurred
Mar 11, 2014
First Form ADV filing
Midwest Financial, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:811f1717-bc14-8473-aad2-acdd31cbfc46
First observed: Mar 11, 2014
Last observed: Jun 29, 2023 39 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.

MIDWEST FINANCIAL

JOHNSON MIDWEST FINANCIAL, LLC, CRD 169855

GLIDDEN, 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:811f1717-bc14-8473-aad2-acdd31cbfc46

Data as of Jun 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOHNSON, BRIAN, DALE

MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER

yes

04/2014

Mar 11, 2014

Jun 29, 2023

JOHNSON, JEREMIAH

Owner

02/2022

Feb 18, 2022

Jun 29, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Feb 24, 2023

$205M

n/a

2021

Feb 18, 2022

$223M

$222M

n/a

2020

Feb 18, 2021

$183M

n/a

2019

Feb 6, 2020

$151M

$150M

n/a

2018

Jan 29, 2019

$133M

n/a

2017

Mar 5, 2018

$135M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$205M

$223M

-7.9%

$151M

10.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MODERN WEALTH MANAGEMENT, LLC

Dec 31, 2023

Sep 1, 2023

GLIDDEN, IA

Team lift out

RIA to RIA

100.0%