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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BRADFORD FINANCIAL CENTER

CRD 110953

CLARION, 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:cc5818cf-73b3-03cf-ac5e-b12ddf267202

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Jan 19, 2012 to Mar 26, 2026
30 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0
Regulatory AUM: $230MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $230M
Private client RAUM: $227MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $28.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 26
Advisory employees: 14
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1,478
Individual clients: 597
High net worth clients: 102
Custody, client assets: $110M
SEC number: 801-68117
CRD: 110953
Filings on the tape: 30
First filed: Jan 19, 2012
Latest filed: Mar 26, 2026
Organised: Limited Liability Company, IA
Website: bradfordfinancialcenter.com

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
MARTY WILLIAM SCHIMP	n/a	CLARION, IA	27	36	n/a	yes
JAMES WILLIAM TAUSZ	Certified Financial Planner	CLARION, IA	27	56	1	yes
LARRY LEE PICKARD	n/a	KALONA, IA \| CLARION, IA	18	18	n/a	no
SHALLON JEAN WEIS	n/a	CLARION, IA	17	21	n/a	yes
JEROME BARBER MOORE	Certified Financial Planner	CLARION, IA \| BRENTWOOD, TN	11	30	3	yes
BRANDON REW WALKER	Certified Financial Planner	BRENTWOOD, TN \| CLARION, IA	11	19	1	yes
Carlton Herman DeWall	n/a	Gilmore City, IA	1	10	1	yes
DAVID STANTON	n/a	CLARION, IA	0	26	4	yes

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
BRADFORD GROUP, INC.	100% OWNER OF BRADFORD FINANCIAL CENTER	E	yes	02/2023	Mar 13, 2024	Dec 9, 2024
TAUSZ, JAMES, WILLIAM	PRESIDENT AND MAJORITY OWNER OF BRADFORD GROUP, INC.	D	yes	04/1985	Jan 19, 2012	Dec 9, 2024
TAUSZ, JAMES, WILLIAM	CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, AND DIRECTOR	E	yes	04/1985	Jan 19, 2012	Dec 9, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BRADFORD INSURANCE	n/a	n/a	n/a	N	yes	n/a
BRADFORD TAX AND ACCOUNTING NETWORK	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
IDA GROVE	Ia	United States	3	yes
Brentwood	Tn	United States	3	no
Garner	Ia	United States	1	no
GILMORE CITY	Ia	United States	1	yes

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 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026	$230M	$230M	26	14	3	n/a	n/a
2024	Mar 20, 2025	$232M	$232M	26	8	4	n/a	n/a
2023	Mar 13, 2024	$210M	$210M	20	12	3	n/a	n/a
2022	Mar 30, 2023	$187M	$187M	21	12	3	n/a	n/a
2021	Mar 30, 2022	$208M	$208M	17	17	3	n/a	n/a
2020	Mar 26, 2021	$187M	$187M	17	17	3	n/a	n/a
2019	Jun 1, 2020	$153M	$153M	21	9	3	n/a	n/a
2018	Mar 28, 2019	$147M	$147M	23	19	3	n/a	n/a
2017	Mar 9, 2018	$153M	$153M	23	19	3	n/a	n/a
2016	Mar 17, 2017	$115M	$115M	22	13	n/a	n/a	n/a
2015	Apr 1, 2016	$105M	$105M	15	10	n/a	n/a	n/a
2014	Mar 4, 2015	$104M	$104M	15	9	n/a	n/a	n/a
2013	Mar 26, 2014	$96.0M	$96.0M	16	10	n/a	n/a	n/a
2012	Mar 27, 2013	$83.1M	$83.1M	15	9	n/a	n/a	n/a
2011	Apr 2, 2012	$70.0M	$70.0M	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
1	0	1	0.0%	0	0	0	2	1

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	$230M	$232M	-1.1%	$187M	7.1%	26	26	3	4

Relationships

Registered with (9)

← DAVID STANTONAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← Carlton Herman DeWallAdvisorregistration: current employment
Sep 27, 2024 to presentfactForm ADV
← JEROME BARBER MOOREAdvisorregistration: current employment
Oct 1, 2014 to presentfactForm ADV
← BRANDON REW WALKERAdvisorregistration: current employment
Oct 1, 2014 to presentfactForm ADV
← SHALLON JEAN WEISAdvisorregistration: current employment
Dec 3, 2008 to presentfactForm ADV
← LARRY LEE PICKARDAdvisorregistration: current employment
Dec 20, 2007 to presentfactForm ADV
← MARTY WILLIAM SCHIMPAdvisorregistration: current employment
Jan 1, 1999 to presentfactForm ADV
← JAMES WILLIAM TAUSZAdvisorregistration: current employment
Jan 1, 1999 to presentfactForm ADV
← FRED ROY SWEERSAdvisorregistration: previous registration
May 19, 2011 to Jun 25, 2025factForm ADV

Controls (2)

← TAUSZ, JAMES, WILLIAMOwnerPRESIDENT AND MAJORITY OWNER OF BRADFORD GROUP, INC., ownership code D, individual
Jan 19, 2012 to Dec 9, 2024factForm ADV
← BRADFORD GROUP, INC.Owner100% OWNER OF BRADFORD FINANCIAL CENTER, ownership code E, domestic entity
Mar 13, 2024 to Dec 9, 2024factForm ADV

Dated events

Occurred
Jun 25, 2025
Advisor changed firm
Fred Roy Sweers left Bradford Financial Center for Harbour Investments, Inc. (registered 2025-06-23)
Form ADVobserved 6 days ago
Occurred
Nov 28, 2022
Control person left
Sue Kimberly Ausborn (Assistant Compliance Officer) no longer on Schedule A of Bradford Financial Center (listed 2022-03-30, absent 2022-11-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc5818cf-73b3-03cf-ac5e-b12ddf267202
First observed: Jan 19, 2012
Last observed: Mar 26, 2026 5 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.

BRADFORD FINANCIAL CENTER

CRD 110953

CLARION, 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:cc5818cf-73b3-03cf-ac5e-b12ddf267202

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARTY WILLIAM SCHIMP

n/a

CLARION, IA

n/a

yes

JAMES WILLIAM TAUSZ

Certified Financial Planner

CLARION, IA

yes

LARRY LEE PICKARD

n/a

KALONA, IA | CLARION, IA

n/a

SHALLON JEAN WEIS

n/a

CLARION, IA

n/a

yes

JEROME BARBER MOORE

Certified Financial Planner

CLARION, IA | BRENTWOOD, TN

yes

BRANDON REW WALKER

Certified Financial Planner

BRENTWOOD, TN | CLARION, IA

yes

Carlton Herman DeWall

n/a

Gilmore City, IA

yes

DAVID STANTON

n/a

CLARION, IA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRADFORD GROUP, INC.

100% OWNER OF BRADFORD FINANCIAL CENTER

yes

02/2023

Mar 13, 2024

Dec 9, 2024

TAUSZ, JAMES, WILLIAM

PRESIDENT AND MAJORITY OWNER OF BRADFORD GROUP, INC.

yes

04/1985

Jan 19, 2012

Dec 9, 2024

TAUSZ, JAMES, WILLIAM

CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, AND DIRECTOR

yes

04/1985

Jan 19, 2012

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRADFORD INSURANCE

n/a

yes

n/a

BRADFORD TAX AND ACCOUNTING NETWORK

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

IDA GROVE

United States

yes

Brentwood

United States

Garner

United States

GILMORE CITY

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$230M

n/a

2024

Mar 20, 2025

$232M

n/a

2023

Mar 13, 2024

$210M

n/a

2022

Mar 30, 2023

$187M

n/a

2021

Mar 30, 2022

$208M

n/a

2020

Mar 26, 2021

$187M

n/a

2019

Jun 1, 2020

$153M

n/a

2018

Mar 28, 2019

$147M

n/a

2017

Mar 9, 2018

$153M

n/a

2016

Mar 17, 2017

$115M

n/a

2015

Apr 1, 2016

$105M

n/a

2014

Mar 4, 2015

$104M

n/a

2013

Mar 26, 2014

$96.0M

n/a

2012

Mar 27, 2013

$83.1M

n/a

2011

Apr 2, 2012

$70.0M

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

$230M

$232M

-1.1%

$187M

7.1%