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CRD 119682
CEDAR RAPIDS, IA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-07-28 (filing); first seen by DFX 2026-09-15.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| TIM ALAN HOHULIN | Chartered Financial Consultant | Bloomington, IL | Blomington, IL | CEDAR RAPIDS, IA | 26 | 36 | n/a | yes |
| PATRICK DAVID REDING | n/a | Algona, IA | CEDAR RAPIDS, IA | ALGONA, IA | 25 | 38 | n/a | yes |
| THOMAS JOSEPH BERTHEL | n/a | Cedar Rapids, IA | 25 | 43 | n/a | yes |
| MISTY LYNN CHILDS | n/a | CEDAR RAPIDS, IA | Hideaway, TX | 23 | 34 | 1 | yes |
| SCOTT CALLIS BARCOMB | n/a | Sarasota, FL | CEDAR RAPIDS, IA | SARASOTA, FL | 23 | 26 | 1 | yes |
| JAMES KENNETH BEAKAS | n/a | TOLEDO, OH | CEDAR RAPIDS, IA | 22 | 39 | n/a | yes |
| RICHARD RALPH BULLER | n/a | CEDAR RAPIDS, IA | MUSCATINE, IA | 21 | 28 | n/a | yes |
| LOIS E Gough LOPEZ | n/a | PINE MOUNTAIN CLUB, CA | Pine Mountain Club, CA | CEDAR RAPIDS, IA | Valencia, CA | 21 | 26 | n/a | yes |
| RANDY AUSTIN WILCOX | n/a | CEDAR RAPIDS, IA | Cedar Rapids, IA | 21 | 24 | n/a | yes |
| FRASER MACPHERSON HORN | n/a | CEDAR RAPIDS, IA | Edwards, CO | EDWARDS, CO | 20 | 39 | 3 | yes |
| DUDLEY MARVIN IRWIN | n/a | EDWARDS, CO | CEDAR RAPIDS, IA | Edwards, CO | 20 | 39 | 2 | yes |
| ROBERT EARL BEARD | n/a | CEDAR RAPIDS, IA | JACKSONVILLE, IL | 18 | 31 | n/a | yes |
| KEVIN CRAIG KOSLOFSKI | n/a | CEDAR RAPIDS, IA | FORSYTH, IL | Decatur, IL | 18 | 28 | 1 | yes |
| LUCIUS WILLIAMSON | n/a | CEDAR RAPIDS, IA | Sacramento, CA | SACRAMENTO, CA | 18 | 29 | 3 | yes |
| JAMES ANDREW CECIL | n/a | Solon, IA | CEDAR RAPIDS, IA | SOLON, IA | 17 | 27 | 2 | yes |
| RITCHIE LYNN HOFFMAN | n/a | CEDAR RAPIDS, IA | INDIANAPOLIS, IN | Indianapolis, IN | LAFAYETTE, IN | 17 | 23 | 1 | yes |
| JASON CHRISTOPHER COOK | Certified Financial Planner | Graham, NC | GRAHAM, NC | CEDAR RAPIDS, IA | 17 | 25 | n/a | yes |
| SPENCER ALLEN MILLS | n/a | BISMARCK, ND | CEDAR RAPIDS, IA | Bismarck, ND | 16 | 18 | 1 | yes |
| JOSEPH ROBERT WEINBAUER | n/a | ST LOUIS, MO | CEDAR RAPIDS, IA | St. Louis, MO | 16 | 28 | 1 | yes |
| CHARLES THOMAS CAMMACK | n/a | Selma, AL | CEDAR RAPIDS, IA | SELMA, AL | 16 | 35 | 2 | yes |
| ROBERT CHARLES MEYER | n/a | CEDAR RAPIDS, IA | Lakewood Ranch, FL | 16 | 19 | n/a | yes |
| GENEVIEVE GARCIA MAR | n/a | NORTHBROOK, IL | CEDAR RAPIDS, IA | 15 | 30 | 2 | yes |
| DEBORAH RENAE JESSEE | n/a | CEDAR RAPIDS, IA | MERIDIAN, ID | 15 | 25 | 3 | yes |
| DAVID SCOTT DOWNEY | n/a | MARION, IA | Marion, IA | CEDAR RAPIDS, IA | 14 | 19 | 3 | yes |
| DEBORAH ANNE HANSON | n/a | ZIONSVILLE, IN | CEDAR RAPIDS, IA | 14 | 23 | 3 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BERTHEL FISHER & COMPANY | Shareholder | E | yes | 03/1989 | Mar 27, 2026 | Mar 27, 2026 |
| BERTHEL, THOMAS, JOSEPH | CHAIRMAN OF BOARD | Na | yes | 03/1989 | Mar 27, 2026 | Mar 27, 2026 |
| CHRISTOFFERSON, ANDREW, JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | Na | yes | 04/2015 | Mar 27, 2026 | Mar 27, 2026 |
| Rupp, Brian | VICE PRESIDENT/CONTROLLER/TREASURER | Na | yes | 11/2017 | Mar 27, 2026 | Mar 27, 2026 |
| SCHAUL, JOANNA, MARIE | Secretary | Na | yes | 09/2014 | Mar 27, 2026 | Mar 27, 2026 |
| BERTHEL, THOMAS, JOSEPH | CHAIRMAN OF BOARD | C | yes | 11/1984 | Dec 1, 2011 | Mar 25, 2024 |
| CHAPMAN, KIMBERLY, KAREN EARLY | CHIEF COMPLIANCE OFFICER | Na | no | 12/2020 | Mar 27, 2026 | Mar 27, 2026 |
| HOHN, JAMES, RALPH | VP TECHNOLOGY | Na | no | 12/2020 | Mar 27, 2026 | Mar 27, 2026 |
| Peterman, Tobi, Lane | VICE PRESIDENT/OPERATIONS | Na | no | 08/2019 | Mar 27, 2026 | Mar 27, 2026 |
| SWARTZENDRUBER, PAIGE, NICHOLE | CHIEF BUSINESS DEVELOPMENT OFFICER | Na | no | 03/2017 | Mar 27, 2026 | Mar 27, 2026 |
| WILCOX, RANDY, AUSTIN | VP COMPLIANCE/OSJ MANAGER | Na | no | 06/2021 | Mar 27, 2026 | Mar 27, 2026 |
| 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 | N | no | n/a |
| SECURITIES MANAGEMENT AND RESEARCH, INC. | n/a | Former SEC adviser | $3.3M | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Minot | Nd | United States | 5 | no |
| Bismarck | Nd | United States | 4 | no |
| Boardman | Oh | United States | 4 | no |
| Dallas | TX | United States | 4 | no |
| Edwards | Co | United States | 3 | no |
| PLEASANT HILL | Ia | United States | 3 | no |
| Bloomington | IL | United States | 3 | no |
| Chesterfield | Mo | United States | 3 | no |
| Toledo | Oh | United States | 3 | no |
| Sarasota | FL | United States | 2 | no |
| Seminole | FL | United States | 2 | no |
| Algona | Ia | United States | 2 | no |
| Burlington | Ia | United States | 2 | no |
| Muscatine | Ia | United States | 2 | no |
| Dixon | IL | United States | 2 | no |
| MAPLE GROVE | Mn | United States | 2 | no |
| Plymouth | Mn | United States | 2 | no |
| PRIOR LAKE | Mn | United States | 2 | no |
| Cincinnati | Oh | United States | 2 | no |
| Greenville | Sc | United States | 2 | no |
| Denton | TX | United States | 2 | no |
| Midvale | Ut | United States | 2 | no |
| n/a | n/a | n/a | 2 | no |
| n/a | n/a | n/a | 2 | no |
| Stockton | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $3.8B | $3.2B | 200 | 200 | 135 | n/a | n/a |
| 2024 | Mar 26, 2025 | $2.0B | $1.3B | 200 | 200 | 135 | n/a | n/a |
| 2023 | Mar 25, 2024 | $1.8B | $1.2B | 200 | 200 | 135 | n/a | n/a |
| 2022 | Mar 30, 2023 | $1.5B | $1.3B | 200 | 200 | 135 | n/a | n/a |
| 2021 | Mar 31, 2022 | $2.0B | $1.9B | 200 | 200 | 135 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.3B | $1.1B | 212 | 204 | 160 | n/a | n/a |
| 2019 | May 6, 2020 | $987M | $869M | 212 | 203 | 160 | n/a | n/a |
| 2018 | Mar 29, 2019 | $822M | $809M | 204 | 204 | 159 | n/a | n/a |
| 2017 | Mar 29, 2018 | $890M | $746M | 206 | 206 | 185 | n/a | n/a |
| 2016 | Jan 25, 2017 | $519M | $414M | 270 | 270 | n/a | n/a | n/a |
| 2015 | Feb 11, 2016 | $226M | $182M | 148 | 148 | n/a | n/a | n/a |
| 2014 | Mar 20, 2015 | $227M | $218M | 143 | 143 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $115M | $112M | 117 | 117 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $77.0M | $77.0M | 34 | 34 | n/a | n/a | n/a |
| 2011 | Mar 15, 2012 | $10.3M | $10.3M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 28 | 15 | 13 | 6.5% | 0 | 3 | 0 | 35 | 30 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.8B | $2.0B | 89.5% | $1.5B | 37.5% | 200 | 200 | 135 | 135 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES, LLC | 2 | Jul 28, 2026 | Jul 28, 2026 | CEDAR RAPIDS, IA | Team lift out | Ibd to ibd | 0.9% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Sep 16, 2025 | Sep 16, 2025 | DIXON, IL | Team lift out | Ibd to ibd | 1.2% |
| DFS ADVISORY | 2 | Jul 3, 2023 | Jun 6, 2023 | CEDAR RAPIDS, IA | Team lift out | Ibd to new firm | 1.2% |
| INTEGRITY ALLIANCE, LLC | 2 | Dec 15, 2022 | Dec 20, 2022 | DENVER, CO | Team lift out | Ibd to RIA | 1.3% |
| LPL FINANCIAL LLC | 2 | Nov 30, 2022 | Dec 13, 2022 | CEDAR RAPIDS, IA | Team lift out | Ibd to RIA | 1.2% |
| FIFTH THIRD SECURITIES, INC. | 2 | Mar 23, 2022 | Mar 11, 2022 | CEDAR RAPIDS, IA | Team lift out | Ibd to ibd | 1.2% |
| STRATEGIC BLUEPRINT, LLC | 3 | Sep 13, 2019 | Sep 13, 2019 | CEDAR RAPIDS, IA | Team lift out | Ibd to RIA | 1.9% |
| Dynamic | 3 | Sep 10, 2018 | Aug 13, 2018 | CEDAR RAPIDS, IA | Team lift out | Ibd to RIA | 2.1% |
| PROMONTORY FINANCIAL PLANNING, LLC | 2 | Sep 27, 2017 | Oct 5, 2017 | CEDAR RAPIDS, IA | Team lift out | Other | 1.4% |
| OSAIC WEALTH, INC. | 2 | Jun 20, 2016 | Jun 21, 2016 | CEDAR RAPIDS, IA | Team lift out | Other | 1.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | 2 | Jun 3, 2024 | May 24, 2024 | NORTH MANKATO, MN | Team lift out | Ibd to ibd | 0.1% |
| BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | 2 | Sep 10, 2018 | Sep 2, 2016 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 2.0% |
| MOLONEY INVESTMENT ADVISORY LLC | 19 | Dec 31, 2016 | Dec 5, 2025 | MANCHESTER, MO | Team lift out | Other | 46.3% |
| VSR ADVISORY SERVICES | 2 | Jul 19, 2016 | Jul 26, 2016 | OVERLAND PARK, KS | Team lift out | Other | 1.3% |
| VOYA FINANCIAL ADVISORS, INC. | 2 | Dec 21, 2015 | Dec 21, 2015 | CEDAR RAPIDS, IA | Team lift out | Other | 0.2% |