DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CORNERSTONE FINANCIAL GROUP,LLC

CRD 129246

OMAHA, NE

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:9d7f38ee-c831-d28d-87e5-fc5dc6c8a926

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2012 to Jun 8, 2026
8 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=0.0
Regulatory AUM: $292MItem 5.F on the latest filing (2026-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $292M
Private client RAUM: $279MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $58.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 5
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 950
Individual clients: 249
High net worth clients: 96
Custody, client assets: $207M
SEC number: 801-132992
CRD: 129246
Filings on the tape: 8
First filed: Feb 28, 2012
Latest filed: Jun 8, 2026
Organised: Limited Liability Company, NE

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
DAVID DIRK HOPPEN	n/a	OMAHA, NE	25	30	n/a	no
SPENCER DEAN SCHWARTING	Certified Financial Planner	OMAHA, NE	8	11	2	no
REUBEN JOSEPH BRAUER	Certified Financial Planner	OMAHA, NE	2	15	2	no
ALLISON NICOLE CERVEN	Certified Financial Planner	OMAHA, NE \| Stanton, IA	2	12	2	no
James Leslie Brauer	n/a	OMAHA, NE \| Denver, CO	1	13	n/a	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
ENGSKOV, DALE, ROBERT	CHIEF COMPLIANCE OFFICER/LLC MEMBER	D	yes	01/1996	Feb 28, 2012	Mar 28, 2012
HOPPEN, DAVID	LLC MEMBER	D	yes	01/1996	Feb 28, 2012	Mar 28, 2012

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; showing 2 of 3

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 23, 2026	$292M	$292M	7	5	4	n/a	n/a
2011	Feb 28, 2012	$55.9M	$55.9M	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	2	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
2025	$292M	n/a	n/a	n/a	n/a	7	n/a	4	n/a

Relationships

Registered with (5)

← James Leslie BrauerAdvisorregistration: current employment
Feb 12, 2025 to presentfactForm ADV
← ALLISON NICOLE CERVENAdvisorregistration: current employment
Feb 6, 2024 to presentfactForm ADV
← REUBEN JOSEPH BRAUERAdvisorregistration: current employment
Feb 4, 2024 to presentfactForm ADV
← SPENCER DEAN SCHWARTINGAdvisorregistration: current employment
Jul 9, 2018 to presentfactForm ADV
← DAVID DIRK HOPPENAdvisorregistration: current employment
Dec 26, 2000 to presentfactForm ADV

Controls (2)

← ENGSKOV, DALE, ROBERTOwnerCHIEF COMPLIANCE OFFICER/LLC MEMBER, ownership code D, individual
Feb 28, 2012 to Mar 28, 2012factForm ADV
← HOPPEN, DAVIDOwnerLLC MEMBER, ownership code D, individual
Feb 28, 2012 to Mar 28, 2012factForm ADV

Dated events

Occurred
Jun 16, 2025
Regulatory AUM changed
Cornerstone Financial Group,Llc reported RAUM $247.0M, up 342% from $55.9M (2012-03-28 to 2025-06-16)
Form ADVobserved 6 days ago
$191M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d7f38ee-c831-d28d-87e5-fc5dc6c8a926
First observed: Feb 28, 2012
Last observed: Jun 8, 2026 3 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.

CORNERSTONE FINANCIAL GROUP,LLC

CRD 129246

OMAHA, NE

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:9d7f38ee-c831-d28d-87e5-fc5dc6c8a926

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID DIRK HOPPEN

n/a

OMAHA, NE

n/a

SPENCER DEAN SCHWARTING

Certified Financial Planner

OMAHA, NE

REUBEN JOSEPH BRAUER

Certified Financial Planner

OMAHA, NE

ALLISON NICOLE CERVEN

Certified Financial Planner

OMAHA, NE | Stanton, IA

James Leslie Brauer

n/a

OMAHA, NE | Denver, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ENGSKOV, DALE, ROBERT

CHIEF COMPLIANCE OFFICER/LLC MEMBER

yes

01/1996

Feb 28, 2012

Mar 28, 2012

HOPPEN, DAVID

LLC MEMBER

yes

01/1996

Feb 28, 2012

Mar 28, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 23, 2026

$292M

n/a

2011

Feb 28, 2012

$55.9M

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

2025

$292M

n/a