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BERGER FINANCIAL GROUP, LLC, CRD 308174
PLYMOUTH, MN
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| LARRY ALLEN BERGER | Certified Financial Planner | PLYMOUTH, MN | 6 | 41 | 1 | no |
| AMY ELIZABETH FRACARO-CHOATE | n/a | South Burlington, VT | PLYMOUTH, MN | 6 | 33 | 2 | no |
| KIM HAROLD LILLEHAUG | Certified Financial Planner | PLYMOUTH, MN | Monticello, MN | 6 | 31 | 1 | no |
| ROBERT STEPHEN SMREKAR | Certified Financial Planner | PLYMOUTH, MN | 6 | 29 | 2 | no |
| BLAINE MICAH CONKLIN | Chartered Financial Analyst | PLYMOUTH, MN | 6 | 24 | 2 | no |
| NICHOLAS ROBERT ASMUS | n/a | PLYMOUTH, MN | 6 | 21 | 2 | no |
| MARK ALLEN BERGER | Certified Financial Planner | PLYMOUTH, MN | 6 | 23 | 2 | no |
| ANGELA MARIE ERICKSON | Certified Financial Planner | PLYMOUTH, MN | 6 | 22 | 2 | no |
| Seth Wilfred Wagner | n/a | PLYMOUTH, MN | 6 | 10 | 1 | no |
| KRISTI LYN SANZ | n/a | PLYMOUTH, MN | 6 | 19 | 2 | no |
| RACHEL MARIE MEYER | n/a | PLYMOUTH, MN | 5 | 28 | n/a | no |
| RYAN THOMAS KOMPELIEN | Certified Financial Planner | PLYMOUTH, MN | 5 | 11 | n/a | no |
| Krista Masera | n/a | PLYMOUTH, MN | 5 | 14 | 1 | no |
| REBECCA LYNN LANTZER | n/a | Bloomington, MN | PLYMOUTH, MN | 5 | 23 | 1 | no |
| LISA CHERIE GREELY | n/a | PLYMOUTH, MN | Bloomington, MN | 5 | 32 | 1 | no |
| TROY RAY | n/a | Sun City, AZ | PLYMOUTH, MN | 4 | 11 | 1 | no |
| Nicholas A Albert | n/a | PLYMOUTH, MN | Sun City, AZ | 4 | 18 | 1 | no |
| Rebecca White Fetterman | Certified Financial Planner | PLYMOUTH, MN | South Burlington, VT | 4 | 10 | 2 | no |
| Matthew Jacob Gibbs | n/a | PLYMOUTH, MN | Burlington, VT | 4 | 12 | 2 | no |
| ERIC KAUTZMAN | n/a | PLYMOUTH, MN | 4 | 15 | 2 | no |
| Anthony Harold Reynolds | n/a | PLYMOUTH, MN | 4 | 10 | 2 | no |
| Eric Chatfield Hansen | n/a | PLYMOUTH, MN | 3 | 22 | n/a | no |
| Lucas Charles Auger | Certified Financial Planner | PLYMOUTH, MN | 3 | 11 | 1 | no |
| Adam Jared Bjorklund | n/a | PLYMOUTH, MN | 3 | 18 | 1 | no |
| Paul Vincent Klinges | n/a | PLYMOUTH, MN | Portland, ME | 3 | 14 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ALPHA HOLDINGS LLC | Owner | E | yes | 07/2026 | Sep 3, 2026 | Sep 3, 2026 |
| ASMUS, NICHOLAS, ROBERT | CHIEF EXECUTIVE OFFICER & PRESIDENT | Na | yes | 07/2026 | Sep 3, 2026 | Sep 3, 2026 |
| BORTSCHELLER, APRIL, THEREASE | SECRETARY & TREASURER | Na | yes | 07/2026 | Sep 3, 2026 | Sep 3, 2026 |
| MACKINNON, JOHN, DOUGLAS | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2026 | Sep 3, 2026 | Sep 3, 2026 |
| BERGER FINANCIAL GROUP EMPLOYEE STOCK OWNERSHIP PLAN | Trust | D | yes | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| BERGER, LARRY, ALLEN | FINANCIAL ADVISOR, CHAIRMAN | Na | yes | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| BERGER, MARK, ALLEN | CHIEF COMPLIANCE OFFICER, PRINCIPAL, BOARD MEMBER | B | yes | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| ERICKSON, ANGELA, MARIE | ADVISOR, BOARD MEMBER | Na | yes | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| NOLL, PATRICK, JOHN | CHIEF FINANCIAL OFFICER | Na | yes | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| BROZEN, NEIL, MATTHEW | Trustee | D | no | 05/2020 | May 15, 2020 | Mar 22, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| S. BURLINGTON | Vt | United States | 5 | no |
| Springfield | IL | United States | 4 | no |
| Scottsdale | Az | United States | 3 | no |
| SUN CITY WEST | Az | United States | 3 | no |
| Bloomington | Mn | United States | 2 | no |
| Portland | Me | United States | 1 | no |
| Minnetonka | Mn | United States | 1 | no |
| Monticello | Mn | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 9, 2026 | $2.9B | $2.9B | 89 | 57 | 9 | n/a | n/a |
| 2024 | Feb 20, 2025 | $2.5B | $2.5B | 70 | 54 | 8 | n/a | n/a |
| 2023 | Mar 22, 2024 | $1.7B | $1.7B | 64 | 52 | 9 | n/a | n/a |
| 2022 | Mar 31, 2023 | $1.4B | $1.4B | 60 | 50 | 6 | n/a | n/a |
| 2021 | Mar 23, 2022 | $1.5B | $1.5B | 51 | 43 | 6 | n/a | n/a |
| 2020 | Mar 16, 2021 | $1.0B | $1.0B | 40 | 34 | 4 | 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 |
|---|---|---|---|---|---|---|---|---|
| 5 | 1 | 4 | 1.9% | 0 | 0 | 0 | 14 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.9B | $2.5B | 17.9% | $1.4B | 29.3% | 89 | 70 | 9 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WIXON ADVISORS, INC. | 2 | Dec 31, 2024 | Nov 13, 2024 | MAPLE GROVE, MN | Team lift out | RIA to RIA | 100.0% |
| ROBERT GORDON & ASSOCIATES INC | 2 | Feb 7, 2024 | Feb 4, 2024 | SPRINGFIELD, IL | Team lift out | RIA to RIA | 100.0% |
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Feb 8, 2021 | Apr 9, 2021 | BLOOMINGTON, MN | Team lift out | RIA to RIA | 0.6% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Aug 26, 2020 | Oct 20, 2022 | SOUTH BURLINGTON, VT | Team lift out | Ibd to new firm | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 13 | Aug 24, 2020 | Nov 5, 2025 | PLYMOUTH, MN | Team lift out | Ibd to new firm | 0.5% |