DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Avantax Planning Partners, Inc.
Latest filing Jun 18, 2026
First filing on the tape Dec 15, 2011 · 54 filings
SEC status approved since Jan 17, 1996
RAUM
$7.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$5.2B individuals and HNW
Advisors
252
registered through the firm on IAPD
RAUM per advisor
$30.0M
derived; firm RAUM over IAPD count
Employees
261
200 advisory (5.B.1)
Offices
169
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$7.6B as of Jun 18, 2026
Mar 26, 2012$1.1B then
HNW client RAUM$3.6B as of Jun 18, 2026
Mar 31, 2018$593M then
State-registered IARs (5.B.3)251 as of Jun 18, 2026
Mar 27, 201321 then
Employees (5.A)261 as of Jun 18, 2026
Mar 27, 201351 then
Private funds: no history
RAUM +9.2% over the last fiscal year+12% a year over threeIARs 254 to 251offices 173 to 169
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $30.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $548,626derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived170 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -1.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- Custody
- $7.6B, 8,368 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.6B47%
- Pension and profit-sharing plans$2.2B29%
- Individuals$1.6B21%
- Corporations and businesses$153M2.0%
- Charitable organizations$49.6M0.7%
- Individual clients
- 6,299reported
- HNW clients
- 1,216reported
- Pension plan clients
- 591reported
- Charitable clients
- 153reported
- Accounts
- 13,797reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6B for 8,368 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.29 related_bd=true related_bank=false bd_reps=129.0derived
Advisors registered through the firm
139 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Michael Mccoy | Ankeny, Ia | Jan 1, 1999 | 27 y | 0 |
| Michael John DarrPersonal Financial Specialist | Granger, Ia | Jan 1, 1999 | 30 y | 0 |
| Wendy Lynn SimsPersonal Financial Specialist | Pella, Ia | Jan 1, 1999 | 44 y | 0 |
| Frank William Diebold | Bloomingdale, Il | May 25, 1999 | 48 y | 0 |
| Linda Jeanne Diebold | Bloomingdale, Il | May 25, 1999 | 39 y | 0 |
| Michael John Gasperi | Des Moines, Ia | Jun 23, 1999 | 31 y | 0 |
| Michael Dean Vermeer | Pella, Ia | Nov 18, 1999 | 31 y | 0 |
| Robert Dana Buckley | West Des Moines, Ia | Dec 27, 1999 | 26 y | 1 |
| Alan Emerson Keltner | Manchester, Ia | Dec 30, 1999 | 40 y | 0 |
| Thomas Leslie Gilbert | Ashmore, Il | Jan 31, 2000 | 31 y | 0 |
| Kevin Ray Eggebraaten | Rapid City, Sd | Jan 16, 2001 | 33 y | 0 |
| Casey Craven Peterson | Rapid City, Sd | Feb 7, 2001 | 48 y | 0 |
| Jeffrey G Knapp | Algona, Ia | Feb 8, 2001 | 25 y | 0 |
| Ruth Ellen Goran | Skokie, Il | Oct 9, 2001 | 51 y | 0 |
| James Henry Spiegelberg | Wauwatosa, Wi | Oct 22, 2001 | 32 y | 0 |
| Richard John HagemanCertified Financial Planner, Chartered Financial Analyst | Neenah, Wi | Apr 21, 2004 | 28 y | 0 |
| Brian Lee SohnCertified Financial Planner | Okoboji, Ia | Sep 24, 2007 | 19 y | 0 |
| Aaron Robert Greteman | Algona, Ia | Mar 12, 2008 | 19 y | 0 |
| Brian Patrick Dervin | Omaha, Ne | Oct 3, 2008 | 25 y | 0 |
| Thad Anthony Lichter | Algona, Ia | Nov 4, 2009 | 17 y | 0 |
| Jerry Lee Kirkpatrick | Centerville, Ia | Dec 4, 2009 | 44 y | 1 |
| Julie Wilson | Dubuque, Ia | May 13, 2010 | 16 y | 0 |
| Francis Egan Dardis | Asbury, Ia | Feb 25, 2013 | 24 y | 4 |
| Mark Timothy LindstromCertified Financial Planner | St Louis Park, Mn | Nov 8, 2013 | 24 y | 0 |
| Thomas Edward Pesch | Eden Prairie, Mn | Nov 12, 2013 | 18 y | 0 |
| Brian Truman Russell | Winona, Mn | Jan 17, 2014 | 34 y | 0 |
| Gavin Lea Burnham | St. Paul, Mn | Jun 24, 2014 | 37 y | 0 |
| Scott Ray Hoyles | Dubuque, Ia | Aug 14, 2014 | 17 y | 0 |
| Patrick Michael Hall | St. Paul, Mn | Dec 1, 2014 | 36 y | 0 |
| Robert James Koch | Roseville, Mn | Dec 2, 2014 | 29 y | 0 |
| Kayce Lind Gerlach | Rapid City, Sd | Jan 5, 2016 | 23 y | 0 |
| Deidre Nicole Budahl | Rapid City, Sd | Jan 5, 2016 | 20 y | 0 |
| Mark Aaron Lyons | Rapid City, Sd | Jun 29, 2016 | 23 y | 0 |
| Wray Thomas Cooper | Louisville, Ky | Nov 23, 2016 | 25 y | 1 |
| Marcia Marian LewisCertified Financial Planner | Louisville, Ky | Dec 14, 2016 | 25 y | 1 |
| Nicole Marie Myer | Algona, Ia | Jan 23, 2017 | 13 y | 0 |
| Sarah Lynn Gerhard | Fairmount, Mn | Jun 1, 2017 | 15 y | 0 |
| Kevin Peter Marso | Humboldt, Ia | Sep 17, 2017 | 13 y | 0 |
| John Clay CsargoCertified Financial Planner | Minneapolis, Mn | Sep 29, 2017 | 25 y | 0 |
| Frank Norman Goldberg | Omaha, Ne | Jan 4, 2018 | 13 y | 1 |
Advisor movement
17 left, 6 joined in 12 months
net -11 in 12 months12 left in 90 days3 joined in 90 daysdeparture rate 6.7% of current headcount52 left over 36 months
Left, latest
- Heather D Vetter to Friday FinancialJul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jay Robert Harris to Friday FinancialJul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- John Alexander Ems to Friday FinancialJul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lawrence Solomayer to Wells Fargo AdvisorsJul 10, 2026 · Affiliated broker-dealer or bank to wirehouse
- Angela Michelle White to Friday FinancialJul 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Elyse Josephine Wegmann to Friday FinancialJul 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Michael Peter Welbes to Friday FinancialJul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Aaron P Cullen to Friday FinancialJul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Katie Jo Thomas to Friday FinancialJul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Keith James Habel to Friday FinancialJul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Adam Robert Reisch to Friday FinancialJul 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kyle Steven Kunz to Friday FinancialJul 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Taylor Ayres to Cetera Investment Advisers LLCApr 7, 2026 · Affiliated broker-dealer or bank to another
- Matthew L Zokai to Cetera Investment Advisers LLCApr 6, 2026 · Affiliated broker-dealer or bank to another
- Anthony Higgins to Coldstream Wealth ManagementFeb 24, 2026 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Lance Daniel Rambousek from Cetera Investment Advisers LLCJul 2, 2026 · Affiliated broker-dealer or bank to another
- Anthony James Weisser from Cetera Investment Advisers LLCJul 2, 2026 · Affiliated broker-dealer or bank to another
- Brian Paul Fisher from Cetera Investment Advisers LLCJul 2, 2026 · Affiliated broker-dealer or bank to another
- Robert Wayne Carey from Avantax Advisory ServicesApr 1, 2026 · Affiliated broker-dealer or bank to another
- Amie Marie Toyama from Cetera Investment Advisers LLCMar 26, 2026 · Affiliated broker-dealer or bank to another
- Nathan M Smith from Charles Schwab & Co., Inc.Dec 22, 2025 · Affiliated broker-dealer or bank to another
- Rhonda Thill from Global Portfolio Strategies, Inc.Aug 5, 2025 · Other
- Giovanni Valle from FacetFeb 19, 2025 · RIA to affiliated broker-dealer or bank
- Nicholas Kilburg from Global Wealth Strategies And Associates, LLCJan 27, 2025 · RIA to affiliated broker-dealer or bank
- Patrick Owens from Sorrento Pacific Financial, LLCJan 23, 2025 · Affiliated broker-dealer or bank to another
- Aaron Mabley from Benjamin F. Edwards & Company, IncorporatedJan 3, 2025 · Affiliated broker-dealer or bank to another
- Melissa Labrue from Avantax Advisory ServicesJan 1, 2025 · Affiliated broker-dealer or bank to another
- Jill Kaz from Hemington Wealth ManagementDec 16, 2024 · RIA to affiliated broker-dealer or bank
- Charles William Reimers from BurrusDec 6, 2024 · RIA to affiliated broker-dealer or bank
- Lucas John Gooding from Citizens Securities, Inc.Oct 25, 2024 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cetera Investment Advisers LLCApr 6, 2026 · Dallas, Tx
- 4 left for Mariner WealthAug 20, 2024 · Kennesaw, Ga
- 4 left for Brady Martz Wealth Solutions, LLCJul 13, 2024 · Grand Forks, Nd
- 2 left for Friday FinancialJun 15, 2023 · Dubuque, Ia
- 3 left for Mariner WealthDec 22, 2021 · Overland Park, Ks
- 2 left for Mariner WealthDec 1, 2020 · Waterloo, Ia
- 4 left for Mariner WealthOct 24, 2017 · Omaha, Ne
- 2 left for Mariner Wealth AdvisorsOct 13, 2017 · Omaha, Ne
- 3 joined from Cetera Investment Advisers LLCJul 9, 2026 · Grand Forks, Nd
- 3 joined from Summit Wealth Advocates, LLCMar 28, 2024 · Prior Lake, Mn · Firm absorbed
- 3 joined from Stratos Wealth Advisors LLCFeb 1, 2024 · Seven Fields, Pa
- 3 joined from Trustee Empowerment & Protection, Inc.Dec 23, 2016 · Louisville, Ky
- 2 joined from SouthbridgeJul 27, 2016 · Marrietta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory Matthew Bregozzo · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- Robert Jeffrey Buchheister · Vice Presidentcontrolsince 06/2025 · owns less than 5%
- Serge Budevich · Vice President & Tax Officercontrolsince 08/2025 · owns less than 5%
- Lynn Gary Chaffin · Tax Officercontrolsince 01/2024 · owns less than 5%
- Neil Kalani Matthew Fries · Vice Presidentcontrolsince 10/2024 · owns less than 5%
- Anne Lisa Gok · Co-Secretarycontrolsince 01/2024 · owns less than 5%
- Thomas Gooley · Directorcontrolsince 01/2024 · owns less than 5%
- Leigh Jennifer Hanau · Vice Presidentcontrolsince 08/2025 · owns less than 5%
- Ai-Ling Winnie Lee · Asst. Secretarycontrolsince 01/2024 · owns less than 5%
- Christopher Todd Mackay · Vice Presidentcontrolsince 10/2024 · owns less than 5%
- James Michael Molnar · Vice Presidentcontrolsince 12/2024 · owns less than 5%
- Daniel Joseph Neary · Director/Vice Presidentcontrolsince 01/2024 · owns less than 5%
- Alan Louie Rosalez · Sr. Vice Presidentcontrolsince 02/2012 · owns less than 5%
- Keith Allan Shores · Treasurercontrolsince 01/2024 · owns less than 5%
- James David Van Havermaat · Asst. Secretarycontrolsince 01/2024 · owns less than 5%
- Tamas Vays · Asst. Secretarycontrolsince 12/2024 · owns less than 5%
- David Andrew Watts · Presidentcontrolsince 10/2024 · owns less than 5%
- Jeffrey Jason Allen · Vice Presidentsince 04/2022 · owns less than 5%
Entity owners
- Avantax Wm Holdings, Inc. · Sole Shareholderdirect · owns 75% or more
- Spirit Acquisitions, LLC. · Sole Shareholderdirect · owns 75% or more
- Aretec Group, Inc. · Sole Shareholderindirect · owns 75% or more of Avantax, Inc.
- Avantax Holdings, LLC · Shareholderindirect · owns 75% or more of Project Baseball Sub, Inc.
- Avantax Wm Holdings, Inc. · Managing Memberindirect · owns F of Spirit Acquisitions, LLC.
- Avantax, Inc. · Shareholderindirect · owns 75% or more of Avantax Holdings, LLC
- Gc Three Holdings, Inc. · Sole Shareholderindirect · owns 75% or more of Gc Two Holdings, Inc.
- Gc Two Holdings, Inc. · Sole Shareholderindirect · owns 75% or more of Gc Two Intermediate Holdings, Inc.
- Gc Two Intermediate Holdings, Inc. · Sole Shareholderindirect · owns 75% or more of Aretec Group, Inc.
- Project Baseball Sub, Inc. · Sole Shareholderindirect · owns 75% or more of Avantax Wm Holdings, Inc.
Related persons
Schedule D 7.A
- Associates In Excellence, Inc.LP sponsorn
- Avantax Advisory Servicesinvestment advisernRAUM $46B
- Avantax Insurance Agency, LLCreal estaten
- Avantax Insurance Services, Inc.real estaten
- Avantax Investment Services, Inc.broker-dealern
- Cetera Advisor Networks Insurance Services LLCreal estaten
- Cetera Advisor Networks LLCbroker-dealernRAUM $47B
- Cetera Advisors Insurance Services LLCreal estaten
- Cetera Advisors LLCbroker-dealerinvestment advisernRAUM $22B
- Cetera Advisory Services LLCinvestment advisern
- Cetera Financial Specialists LLCbroker-dealern
- Cetera Insurance Agency, LLCreal estaten
- Cetera Investment Advisers LLCinvestment advisernRAUM $257B
- Cetera Investment Management LLCinvestment advisern
- Cetera Investment Services LLCbroker-dealernRAUM $1.2B
- Cetera Trust Company, N.A.n
- Fasi Insurance Services, Inc.real estaten
- Fasi Of Tx, Inc.real estaten
- First Allied Retirement Services, Inc.LP sponsorn
- Nfg Brokerage, LLCreal estaten
- Cetera Planning Partnersinvestment advisernRAUM $4.2B
Advisers that list Avantax Planning Partners, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dubuque, Ia · principal | 120 | 4 | 10 | 1 | |
| Lafayette, La | 16 | 16 | 0 | ||
| Rapid City, Sd | 12 | 0 | 0 | ||
| Parsippany, Nj | 10 | 0 | 0 | ||
| Dallas, Tx | 8 | 2 | 2 | 1 | |
| Indianapolis, In | 7 | 1 | 0 | ||
| El Segundo, Ca | 7 | 1 | 0 | ||
| Seven Fields, Pa | 7 | 0 | 0 | ||
| Algona, Ia | 6 | 0 | 0 | ||
| Louisville, Ky | 5 | 0 | 0 | ||
| Evansville, In | 5 | 0 | 0 | ||
| Houston, Tx | 5 | 0 | 0 | ||
| Oxnard, Ca | 5 | 2 | 0 | ||
| Danville, Ca | 4 | 0 | 0 | ||
| Urbandale, Ia | 4 | 0 | 0 | ||
| Somerset, Ky | 4 | 0 | 0 | ||
| Pella, Ia | 4 | 0 | 0 | ||
| Baytown, Tx | 4 | 0 | 0 | ||
| Roseville, Mn | 4 | 0 | 0 | ||
| West Des Moines, Ia | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dubuque, IA15 employees
- Lakewood Ranch, FL13 employees
- Rapid City, SD13 employees
- Somerset, KY11 employees
- Parsippany, NJ9 employees
- Grand Forks, ND9 employees
- Algona, IA8 employees
- Oxnard, CA8 employees
- Saginaw, MI7 employees
- St Paul, MN7 employees
- Pella, IA6 employees
- Southlake, TX6 employees
- Cranford, NJ6 employees
- Tamaqua, PA5 employees
- Urbandale, IA5 employees
- Indianapolis, IN5 employees
- Kingwood, TX4 employees
- Urbandale, IA4 employees
- Evansville, IN4 employees
- Chicago, IL4 employees
- Wauwatosa, WI3 employees
- Centerville, IA3 employees
- Davenport, IA3 employees
- Fargo, ND3 employees
- Fort Dodge, IA3 employees
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 18, 2026institutional share of RAUM of 29% against a peer median of 2% (53 comparable advisers, 100.0th percentile, 9.3 robust deviations)peers: affiliated wealth managers, $5B to $20B (53) · 100% percentile
- control person changedChange between filings · filing Jun 18, 2026Hanau, Jennifer, Leigh (VICE PRESIDENT) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026BUCHHEISTER, JEFFREY, ROBERT (VICE PRESIDENT) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026Molnar, Michael, James (VICE PRESIDENT) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026Vays, Tamas (ASST. SECRETARY) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026Budevich, Serge (VICE PRESIDENT & TAX OFFICER) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026FRIES, MATTHEW, NEIL KALANI (VICE PRESIDENT) left Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026GOK, LISA, ANNE (CO-SECRETARY) left Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 18, 2026Chaffin, Gary, Lynn (TAX OFFICER) left Schedule A between the filings of 2024-11-05 and 2026-06-18peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- Accounts · 13,679 to 13,797Jan 5, 2026 to Mar 30, 2026
- Advisory employees · 254 to 200Jan 5, 2026 to Mar 30, 2026
- BD registered reps · 118 to 129Jan 5, 2026 to Mar 30, 2026
- Charity clients · 120 to 153Jan 5, 2026 to Mar 30, 2026
- Corporate clients · 91 to 111Jan 5, 2026 to Mar 30, 2026
- HNW clients · 1,095 to 1,216Jan 5, 2026 to Mar 30, 2026
- Individual clients · 6,485 to 6,299Jan 5, 2026 to Mar 30, 2026
- Pension plan clients · 580 to 591Jan 5, 2026 to Mar 30, 2026
- Assets in custody · $6.9B to $7.6BJan 5, 2026 to Mar 30, 2026
- Employees · 254 to 261Jan 5, 2026 to Mar 30, 2026
- Insurance-licensed employees · 85 to 87Jan 5, 2026 to Mar 30, 2026
- State-registered IARs · 254 to 251Jan 5, 2026 to Mar 30, 2026
- Other offices · 173 to 169Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $6.9B to $7.6BJan 5, 2026 to Mar 30, 2026
- HNW RAUM · $3.1B to $3.6BJan 5, 2026 to Mar 30, 2026
- Individual RAUM · $1.6B to $1.6BJan 5, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $5.3MJan 5, 2026 to Mar 30, 2026
- Pension RAUM · $2.0B to $2.2BJan 5, 2026 to Mar 30, 2026
- RAUM · $6.9B to $7.6BJan 5, 2026 to Mar 30, 2026
- Related insurance company · false to trueJan 5, 2026 to Mar 30, 2026
- Financial planning clients · More than 500 to More than 500Mar 30, 2025 to Jul 28, 2025
- Accounts · 12,286 to 13,679Nov 19, 2024 to Mar 30, 2025
- Advisory employees · 248 to 254Nov 19, 2024 to Mar 30, 2025
- BD registered reps · 92 to 118Nov 19, 2024 to Mar 30, 2025
- Charity clients · 114 to 120Nov 19, 2024 to Mar 30, 2025
- Corporate clients · 108 to 91Nov 19, 2024 to Mar 30, 2025
- HNW clients · 980 to 1,095Nov 19, 2024 to Mar 30, 2025
- Individual clients · 5,920 to 6,485Nov 19, 2024 to Mar 30, 2025
- Pension plan clients · 548 to 580Nov 19, 2024 to Mar 30, 2025
- Assets in custody · $6.4B to $6.9BNov 19, 2024 to Mar 30, 2025
- Employees · 248 to 254Nov 19, 2024 to Mar 30, 2025
- Insurance-licensed employees · 57 to 85Nov 19, 2024 to Mar 30, 2025
- State-registered IARs · 248 to 254Nov 19, 2024 to Mar 30, 2025
- Other offices · 108 to 173Nov 19, 2024 to Mar 30, 2025
- Discretionary RAUM · $6.4B to $6.9BNov 19, 2024 to Mar 30, 2025
- HNW RAUM · $3.0B to $3.1BNov 19, 2024 to Mar 30, 2025
- Individual RAUM · $1.5B to $1.6BNov 19, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $4.9M to $0Nov 19, 2024 to Mar 30, 2025
- Pension RAUM · $1.7B to $2.0BNov 19, 2024 to Mar 30, 2025
- RAUM · $6.4B to $6.9BNov 19, 2024 to Mar 30, 2025
Signals
60 dated events
- Lauren Jacobs no longer registered at Avantax Planning Partners, Inc.; no later IA registration on IAPDSep 9, 2026 · Advisor departure · fact
- Lawrence Solomayer left Avantax Planning Partners, Inc. for Wells Fargo Advisors (registered 2026-07-07)Jul 10, 2026 · Advisor changed firm · fact
- 3 advisors left Cetera Investment Advisers LLC (Grand Forks, ND) for Avantax Planning Partners, Inc. on the same dayJul 9, 2026 · Team lift-out · derived
- Taylor Ayres left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2026-01-09)Apr 7, 2026 · Advisor changed firm · fact
- Matthew L Zokai left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2025-09-05)Apr 6, 2026 · Advisor changed firm · fact
- 2 advisors left Avantax Planning Partners, Inc. (Dallas, TX) for Cetera Investment Advisers LLC a day apartApr 6, 2026 · Team lift-out · derived
- Anthony Higgins left Avantax Planning Partners, Inc. for Coldstream Wealth Management (registered 2026-03-04)Feb 24, 2026 · Advisor changed firm · fact
- Erin Moses Spiwak left Avantax Planning Partners, Inc. for James Moore Wealth Management Services, Llc (registered 2024-05-24)Jan 28, 2026 · Advisor changed firm · fact
- Evan Robin Guido left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2025-08-12)Oct 15, 2025 · Advisor changed firm · fact
- Rebecca Botzet left Avantax Planning Partners, Inc. for Cahill Financial Advisors, Inc. (registered 2025-08-18)Aug 21, 2025 · Advisor changed firm · fact
- Michael Leland Barratt left Avantax Planning Partners, Inc. for Choreo, Llc (registered 2025-08-05)Aug 18, 2025 · Advisor changed firm · fact
- Jennifer Hutchins left Avantax Planning Partners, Inc. for Cbiz Investment Advisory Services, Llc (registered 2025-09-12)Aug 13, 2025 · Advisor changed firm · fact
- Samir Ahmed left Avantax Planning Partners, Inc. for Creative Planning Institutional Advisors, Llc (registered 2025-07-15)Jul 14, 2025 · Advisor changed firm · fact
- Susan R Copeland left Avantax Planning Partners, Inc. for Hippocratic Financial Advisors (registered 2025-04-11)Jun 11, 2025 · Advisor changed firm · fact
- Joseph P Clagg left Avantax Planning Partners, Inc. for Lpl Financial Llc (registered 2025-07-02)Jun 4, 2025 · Advisor changed firm · fact
- Ryne Henrich left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2024-08-12)Apr 21, 2025 · Advisor changed firm · fact
- Avantax Planning Partners, Inc. reported 173 offices beyond its principal office, up from 108 (2024-11-19 to 2025-03-30)Mar 30, 2025 · Office count change · derived
- Robert J Naselli left Avantax Planning Partners, Inc. for Lpl Financial Llc (registered 2024-12-12)Dec 18, 2024 · Advisor changed firm · fact
- Matthew Hines left Avantax Planning Partners, Inc. for Avantax Advisory Services (registered 2024-11-11)Nov 12, 2024 · Advisor changed firm · fact
- Vance Robert Glaser left Avantax Planning Partners, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2024-10-31)Nov 5, 2024 · Advisor changed firm · fact
- G Chris Rod (Co-Treasurer) no longer on Schedule A of Avantax Planning Partners, Inc. (listed 2024-04-16, absent 2024-11-05)Nov 5, 2024 · Control person left · inference
- David Andrew Watts (President) appeared on Schedule A of Avantax Planning Partners, Inc.Nov 5, 2024 · Control person joined · fact
- Neil Kalani Matthew Fries (Vice President) appeared on Schedule A of Avantax Planning Partners, Inc.Nov 5, 2024 · Control person joined · fact
- Thomas Gooley (Director) appeared on Schedule A of Avantax Planning Partners, Inc.Nov 5, 2024 · Control person joined · fact
- Nicholas Ray Kaster left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2025-09-05)Oct 10, 2024 · Advisor changed firm · fact
- Adam James Elder left Avantax Planning Partners, Inc. for Mariner (registered 2024-09-17)Sep 9, 2024 · Advisor changed firm · fact
- Anthony James Weisser left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2026-06-10)Sep 9, 2024 · Advisor changed firm · fact
- Toni Marie Schwahn left Avantax Planning Partners, Inc. for Mariner Wealth (registered 2025-04-16)Sep 5, 2024 · Advisor changed firm · fact
- Lance Daniel Rambousek left Avantax Planning Partners, Inc. for Cetera Investment Advisers Llc (registered 2026-06-10)Sep 5, 2024 · Advisor changed firm · fact
- Joseph S James left Avantax Planning Partners, Inc. for Mariner Wealth (registered 2024-08-16)Sep 4, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/Avantax-Planning-Partnersreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 563-582-2855reportedpublic record, Form ADV, Jun 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026