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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

HERBERT EDWARD MODGLIN

Advisor at FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC

WEST DES MOINES, IA

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Search this name across graphsid dfx:ria:e30939fb-2fb5-f5ae-3a05-a0cc8a55ba62

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 1, 2003 to Sep 14, 2026

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

Current firm: FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 27, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 27, 1991
First registration: Oct 1, 2003
Dual registered: yes, broker-dealer
Other names: ED MODGLIN|HERBERT EDWARD MODGLIN
IAPD individual key: 2147334

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC	Independent wealth	Aug 11, 2020	n/a	yes	WEST DES MOINES, IA	Current employment
BALEFIRE, LLC	Independent wealth	Oct 13, 2015	Nov 4, 2020	no	DALLAS, TX	Previous registration
SUCCESSFUL RESOURCE MANAGEMENT, LTD.	State registered	Dec 9, 2008	Dec 8, 2015	no	JOHNSTON, IA	Previous registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Jul 3, 2007	Nov 19, 2008	no	PLYMOUTH, MN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 17, 2003	Nov 25, 2008	no	WEST DES MOINES, IA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Oct 1, 2003	Oct 14, 2003	no	WEST DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BALEFIRE, LLC	FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLC	Nov 4, 2020	Aug 11, 2020	-85	Firm change after gap	RIA to new firm
SUCCESSFUL RESOURCE MANAGEMENT, LTD.	BALEFIRE, LLC	Dec 8, 2015	Oct 13, 2015	-56	Firm change after gap	Other
LPL FINANCIAL LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Nov 25, 2008	Jul 3, 2007	-511	Firm change after gap	Other
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	SUCCESSFUL RESOURCE MANAGEMENT, LTD.	Nov 19, 2008	Dec 9, 2008	20	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	LPL FINANCIAL LLC	Oct 14, 2003	Oct 17, 2003	3	Firm change	Other

Relationships

Registered with (6)

→ FIVE TALENTS FINANCIAL MANAGEMENT GROUP LLCRegistered adviserregistration: current employment
Aug 11, 2020 to presentfactForm ADV
→ BALEFIRE, LLCRegistered adviserregistration: previous registration
Oct 13, 2015 to Nov 4, 2020factForm ADV
→ SUCCESSFUL RESOURCE MANAGEMENT, LTD.Registered adviserregistration: previous registration
Dec 9, 2008 to Dec 8, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 17, 2003 to Nov 25, 2008factForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jul 3, 2007 to Nov 19, 2008factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 1, 2003 to Oct 14, 2003factForm ADV

Dated events

No dated event names this entity yet.