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
Bfc Planning, Inc.
Latest filing Mar 27, 2026
First filing on the tape Dec 1, 2011 · 68 filings
SEC status approved since Jan 3, 2007
RAUM
$3.8B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
96%
$3.7B individuals and HNW
Advisors
230
registered through the firm on IAPD
RAUM per advisor
$16.7M
derived; firm RAUM over IAPD count
Employees
200
200 advisory (5.B.1)
Offices
135
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$3.8B as of Mar 27, 2026
Mar 15, 2012$10.3M then
HNW client RAUM$1.3B as of Mar 27, 2026
Mar 29, 2019$173M then
State-registered IARs (5.B.3)200 as of Mar 27, 2026
Mar 15, 20120 then
Employees (5.A)200 as of Mar 27, 2026
Mar 26, 201334 then
Private funds: no history
RAUM +90% over the last fiscal year+38% a year over threeIARs 200 to 200
Practice profile
derived from the filing of Mar 27, 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)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $16.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $291,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.7derived136 offices incl. principal (1.F.5)
- RAUM growth, one year
- +90%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +71%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.4B61%
- High-net-worth individuals$1.3B35%
- Corporations and businesses$92.8M2.4%
- Pension and profit-sharing plans$31.8M0.8%
- Charitable organizations$24.7M0.6%
- Individual clients
- 10,753reported
- HNW clients
- 574reported
- Pension plan clients
- 34reported
- Charitable clients
- 9reported
- Accounts
- 13,174reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=200.0derived
Advisors registered through the firm
230 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tim Alan HohulinChartered Financial Consultant | Bloomington, Il | Feb 1, 2000 | 36 y | 0 |
| Thomas Joseph Berthel | Cedar Rapids, Ia | Jan 1, 2001 | 43 y | 0 |
| Patrick David Reding | Algona, Ia | Jan 1, 2001 | 38 y | 0 |
| Misty Lynn Childs | Cedar Rapids, Ia | Jun 27, 2003 | 34 y | 1 |
| Scott Callis Barcomb | Sarasota, Fl | Sep 6, 2003 | 26 y | 1 |
| James Kenneth Beakas | Toledo, Oh | Apr 27, 2004 | 39 y | 0 |
| Richard Ralph Buller | Cedar Rapids, Ia | Oct 28, 2004 | 28 y | 0 |
| Lois E Gough Lopez | Pine Mountain Club, Ca | Jun 20, 2005 | 26 y | 0 |
| Randy Austin Wilcox | Cedar Rapids, Ia | Sep 10, 2005 | 24 y | 0 |
| Fraser Macpherson Horn | Cedar Rapids, Ia | Jan 4, 2006 | 39 y | 3 |
| Dudley Marvin Irwin | Edwards, Co | Jan 20, 2006 | 39 y | 2 |
| Robert Earl Beard | Cedar Rapids, Ia | Nov 21, 2007 | 31 y | 0 |
| Kevin Craig Koslofski | Cedar Rapids, Ia | Mar 4, 2008 | 28 y | 1 |
| Lucius Williamson | Cedar Rapids, Ia | Mar 31, 2008 | 29 y | 3 |
| James Andrew Cecil | Solon, Ia | Nov 25, 2008 | 27 y | 2 |
| Ritchie Lynn Hoffman | Cedar Rapids, Ia | Aug 3, 2009 | 23 y | 1 |
| Jason Christopher CookCertified Financial Planner | Graham, Nc | Sep 14, 2009 | 25 y | 0 |
| Spencer Allen Mills | Bismarck, Nd | Nov 13, 2009 | 18 y | 1 |
| Joseph Robert Weinbauer | St Louis, Mo | Feb 1, 2010 | 28 y | 1 |
| Charles Thomas Cammack | Selma, Al | Mar 10, 2010 | 35 y | 2 |
| Robert Charles Meyer | Cedar Rapids, Ia | Apr 15, 2010 | 19 y | 0 |
| Genevieve Garcia Mar | Northbrook, Il | Nov 5, 2010 | 30 y | 2 |
| Deborah Renae Jessee | Cedar Rapids, Ia | Dec 17, 2010 | 25 y | 3 |
| David Scott Downey | Marion, Ia | Nov 2, 2011 | 19 y | 3 |
| Deborah Anne Hanson | Zionsville, In | Dec 13, 2011 | 23 y | 3 |
| Guy William JonesCertified Financial Planner | Denton, Tx | Feb 29, 2012 | 44 y | 0 |
| Richard Thomas Seal | Cedar Rapids, Ia | Mar 1, 2012 | 23 y | 2 |
| Layne Jeffrey BrownChartered Financial Consultant | Pleasant Hill, Ia | Mar 6, 2012 | 29 y | 0 |
| Paul Gerard Hardin | Cedar Rapids, Ia | Mar 19, 2012 | 38 y | 1 |
| Arthur Douglas Salmon | Dallas, Tx | Jun 21, 2012 | 30 y | 4 |
| Steven Alan Gundy | Cedar Rapids, Ia | Jun 22, 2012 | 26 y | 1 |
| Jeffrey Alan Schiller | Cedar Rapids, Ia | Jun 25, 2012 | 44 y | 1 |
| Frank Thomas DelurgioCertified Financial Planner | St. Louis, Mo | Sep 4, 2012 | 42 y | 2 |
| Andrew James Christofferson | Cedar Rapids, Ia | Sep 20, 2012 | 27 y | 2 |
| Jeffrey Douglas Thomas | Las Vegas, Nv | Nov 1, 2012 | 30 y | 0 |
| Kerry Glen JuddChartered Financial Consultant | Cedar Rapids, Ia | Jan 11, 2013 | 37 y | 4 |
| Sergio Humberto Gallego | Chula Vista, Ca | Jun 4, 2013 | 14 y | 1 |
| Bradford Todd Williams | Cottonwood Heights, Ut | Jun 17, 2013 | 25 y | 4 |
| Nicholas Ernest Mock | Minot, Nd | Jul 22, 2013 | 14 y | 1 |
| Marissa Dawn Nehlsen | Cedar Rapids, Ia | Jul 22, 2013 | 28 y | 2 |
Advisor movement
15 left, 28 joined in 12 months
net +13 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 6.5% of current headcount30 left over 36 months
Left, latest
- Paul Leonard Goenner to Cambridge Investment Research Advisors, Inc.Aug 31, 2026 · Affiliated broker-dealer or bank to another
- Eric Alexander Duncan to Kestra Advisory Services, LLCJul 28, 2026 · Affiliated broker-dealer or bank to another
- Amy L. Duncan to Kestra Advisory Services, LLCJul 28, 2026 · Affiliated broker-dealer or bank to another
- Christopher Clement Sherer to Kovack Advisors, Inc.Apr 20, 2026 · Affiliated broker-dealer or bank to another
- Alan Roland Woolever to Dmk Advisor Group, Inc.Mar 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Anthony Edward Buford to Berthel Fisher & Company Financial Services, Inc.Mar 13, 2026 · Other
- Stuart Seffrood to Ameriprise Financial Services, LLCMar 4, 2026 · Affiliated broker-dealer or bank to another
- Royce Lee Cannon to Quincy Wells Advisors, LLCFeb 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Bret Alexander Hartman to Cetera Investment Advisers LLCFeb 3, 2026 · Affiliated broker-dealer or bank to another
- Daniel Gerard Meehan to Cape Investment Advisory, Inc.Dec 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- David Day to J.P. Morgan Securities LLCDec 12, 2025 · Affiliated broker-dealer or bank to wirehouse
- Robert Mckay to Nautical Star Financial Group LLCDec 3, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- J. Kyle Haugen to Cetera Investment Advisers LLCNov 21, 2025 · Affiliated broker-dealer or bank to another
- Gerard Stephen Diaz to Wells Fargo AdvisorsNov 12, 2025 · Affiliated broker-dealer or bank to wirehouse
- David Greg Birrell to LPL Financial LLCOct 20, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Thomas Parkin from Wells Fargo AdvisorsJun 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- Madyson Ellen Tracy from Cetera Investment Advisers LLCJun 1, 2026 · Affiliated broker-dealer or bank to another
- Christopher Dale Schreckenghost from Bok Financial AdvisorsMay 4, 2026 · Affiliated broker-dealer or bank to another
- Enrico Giovanni Cacciapuoti from Kingswood Wealth Advisors, LLCApr 7, 2026 · Affiliated broker-dealer or bank to another
- Scott Foster Hoskins from World Equity Group, Inc.Feb 27, 2026 · Affiliated broker-dealer or bank to another
- Christopher Clement Sherer from Osaic Advisory Services, LLCFeb 17, 2026 · Affiliated broker-dealer or bank to another
- Lucas Scott Gray from Nations Financial Group, Inc.Dec 16, 2025 · RIA to affiliated broker-dealer or bank
- Thomas Carlos Nieves from Centaurus Financial, Inc.Dec 12, 2025 · Affiliated broker-dealer or bank to another
- Mark James Murtha from Moloney Investment Advisory LLCDec 5, 2025 · Other
- Peter Jon Ferraro from Moloney Investment Advisory LLCDec 5, 2025 · Other
- Meredith Cabell Jones from Moloney Investment Advisory LLCDec 5, 2025 · Other
- James Edward Nelson from Moloney Investment Advisory LLCDec 5, 2025 · Other
- David Francis Lagrange from Moloney Investment Advisory LLCDec 5, 2025 · Other
- Arthur Leslie Jackson from Moloney Investment Advisory LLCDec 5, 2025 · Other
- Brian Patrick Corrigan from Moloney Investment Advisory LLCDec 5, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Kestra Advisory Services, LLCJul 28, 2026 · Cedar Rapids, Ia
- 2 left for Ameriprise Financial Services, LLCSep 16, 2025 · Dixon, Il
- 2 left for Dfs AdvisoryJul 3, 2023 · Cedar Rapids, Ia
- 2 left for Integrity Alliance, LLCDec 15, 2022 · Denver, Co
- 2 left for LPL Financial LLCNov 30, 2022 · Cedar Rapids, Ia
- 2 left for Fifth Third Securities, Inc.Mar 23, 2022 · Cedar Rapids, Ia
- 3 left for Strategic Blueprint, LLCSep 13, 2019 · Cedar Rapids, Ia
- 3 left for DynamicSep 10, 2018 · Cedar Rapids, Ia
- 2 joined from Securities America Advisors, Inc.Jun 3, 2024 · North Mankato, Mn
- 2 joined from Berthel Fisher & Company Financial Services, Inc.Sep 10, 2018 · San Diego, Ca
- 19 joined from Moloney Investment Advisory LLCDec 31, 2016 · Manchester, Mo
- 2 joined from Vsr Advisory ServicesJul 19, 2016 · Overland Park, Ks
- 2 joined from Voya Financial Advisors, Inc.Dec 21, 2015 · Cedar Rapids, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Thomas Berthel · Chairman Of Boardcontrolsince 03/1989 · owns less than 5%
- James Andrew Christofferson · Chief Executive Officer/Presidentcontrolsince 04/2015 · owns less than 5%
- Brian Rupp · Vice President/Controller/Treasurercontrolsince 11/2017 · owns less than 5%
- Marie Joanna Schaul · Secretarycontrolsince 09/2014 · owns less than 5%
- Joseph Thomas Berthel · Chairman Of Boardcontrolsince 11/1984 · owns 25% to 50% of Berthel Fisher & Company
- Karen Early Kimberly Chapman · Chief Compliance Officersince 12/2020 · owns less than 5%
- Ralph James Hohn · Vp Technologysince 12/2020 · owns less than 5%
- Lane Tobi Peterman · Vice President/Operationssince 08/2019 · owns less than 5%
- Nichole Paige Swartzendruber · Chief Business Development Officersince 03/2017 · owns less than 5%
- Austin Randy Wilcox · Vp Compliance/Osj Managersince 06/2021 · owns less than 5%
Entity owners
- Berthel Fisher & Company · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Berthel Fisher & Company Financial Services, Inc.broker-dealerinvestment advisernRAUM $906M
- Securities Management And Research, Inc. ("Sm&R")broker-dealerreal estatenRAUM $3.3M
Advisers that list Bfc Planning, Inc. as a related person
- 13609 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia · principal | 230 | 76 | 10 | 1 | |
| Bismarck, Nd | 9 | 1 | 0 | ||
| Minot, Nd | 5 | 0 | 0 | ||
| Dallas, Tx | 5 | 1 | 0 | ||
| Chesterfield, Mo | 4 | 0 | 0 | ||
| Toledo, Oh | 4 | 0 | 0 | ||
| Pleasant Hill, Ia | 3 | 0 | 0 | ||
| St Louis, Mo | 3 | 1 | 0 | ||
| Edwards, Co | 3 | 0 | 0 | ||
| Boardman, Oh | 3 | 0 | 0 | ||
| Manchester, Mo | 2 | 2 | 0 | ||
| Midvale, Ut | 2 | 0 | 0 | ||
| Muscatine, Ia | 2 | 0 | 0 | ||
| North Mankato, Mn | 2 | 0 | 0 | ||
| Northbrook, Il | 2 | 0 | 0 | ||
| Algona, Ia | 2 | 0 | 0 | ||
| Blomington, Il | 2 | 0 | 0 | ||
| Burlington, Ia | 2 | 0 | 0 | ||
| Cincinnati, Oh | 2 | 0 | 0 | ||
| Denton, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Minot, ND5 employees
- Dallas, TX4 employees
- Bismarck, ND4 employees
- Boardman, OH4 employees
- Bloomington, IL3 employees
- Chesterfield, MO3 employees
- Pleasant Hill, IA3 employees
- Toledo, OH3 employees
- Edwards, CO3 employees
- Maple Grove, MN2 employees
- Greenville, SC2 employees
- Cincinnati, OH2 employees
- Midvale, UT2 employees
- Dixon, IL2 employees
- Seminole, FL2 employees
- Muscatine, IA2 employees
- Burlington, IA2 employees
- , 2 employees
- Sarasota, FL2 employees
- Denton, TX2 employees
- Plymouth, MN2 employees
- , 2 employees
- Prior Lake, MN2 employees
- Algona, IA2 employees
- Stockton, CA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 8,756.0 to 13,174.0 (+50.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +10.0% (52 comparable advisers, 92.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 92% percentile
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 6,633.0 to 11,327.0 (+71.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +9.0% (50 comparable advisers, 96.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 96% percentile
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 64.0% to 84.0% between the annual amendments of 2025-03-26 and 2026-03-27peers: affiliated wealth managers, $1B to $5B (56)
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $2,026,848,859 to $3,841,196,599 (+90.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +22.0% (52 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 8,756 to 13,174Mar 26, 2025 to Mar 27, 2026
- Charity clients · unset to 9.0Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 36 to 78Mar 26, 2025 to Mar 27, 2026
- HNW clients · 118 to 574Mar 26, 2025 to Mar 27, 2026
- Individual clients · 6,515 to 10,753Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 51 to 34Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $3.2BMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $415M to $1.3BMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $1.5B to $2.4BMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $736M to $608MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $29.5M to $31.8MMar 26, 2025 to Mar 27, 2026
- RAUM · $2.0B to $3.8BMar 26, 2025 to Mar 27, 2026
- Accounts · 8,749 to 8,756Mar 25, 2024 to Mar 26, 2025
- Charity clients · 15.0 to unsetMar 25, 2024 to Mar 26, 2025
- Corporate clients · 55 to 36Mar 25, 2024 to Mar 26, 2025
- HNW clients · 28 to 118Mar 25, 2024 to Mar 26, 2025
- Individual clients · 6,417 to 6,515Mar 25, 2024 to Mar 26, 2025
- Pension plan clients · 32 to 51Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $635M to $415MMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $1.1B to $1.5BMar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $602M to $736MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $5.5M to $29.5MMar 25, 2024 to Mar 26, 2025
- RAUM · $1.8B to $2.0BMar 25, 2024 to Mar 26, 2025
- Accounts · 8,990 to 8,749Mar 30, 2023 to Mar 25, 2024
- Charity clients · unset to 15.0Mar 30, 2023 to Mar 25, 2024
- Corporate clients · 27 to 55Mar 30, 2023 to Mar 25, 2024
- HNW clients · 277 to 28Mar 30, 2023 to Mar 25, 2024
- Individual clients · 8,684 to 6,417Mar 30, 2023 to Mar 25, 2024
- Pension plan clients · unset to 32.0Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.3B to $1.2BMar 30, 2023 to Mar 25, 2024
- HNW RAUM · $447M to $635MMar 30, 2023 to Mar 25, 2024
- Individual RAUM · $1.0B to $1.1BMar 30, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $181M to $602MMar 30, 2023 to Mar 25, 2024
- Pension RAUM · $563,329 to $5.5MMar 30, 2023 to Mar 25, 2024
- RAUM · $1.5B to $1.8BMar 30, 2023 to Mar 25, 2024
- Accounts · 9,031 to 8,990Mar 31, 2022 to Mar 30, 2023
- Charity clients · 3.0 to unsetMar 31, 2022 to Mar 30, 2023
- Corporate clients · 41 to 27Mar 31, 2022 to Mar 30, 2023
Signals
60 dated events
- Paul Leonard Goenner left Bfc Planning, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-08-31)Aug 31, 2026 · Advisor changed firm · fact
- Amy L. Duncan left Bfc Planning, Inc. for Kestra Advisory Services, Llc (registered 2026-07-27)Jul 28, 2026 · Advisor changed firm · fact
- Eric Alexander Duncan left Bfc Planning, Inc. for Kestra Advisory Services, Llc (registered 2026-07-28)Jul 28, 2026 · Advisor changed firm · fact
- 2 advisors left Bfc Planning, Inc. (Cedar Rapids, IA) for Kestra Advisory Services, LLC on the same dayJul 28, 2026 · Team lift-out · derived
- Christopher Clement Sherer left Bfc Planning, Inc. for Kovack Advisors, Inc. (registered 2026-06-05)Apr 20, 2026 · Advisor changed firm · fact
- Bfc Planning, Inc. reported RAUM $3.8B, up 90% from $2.0B (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Alan Roland Woolever left Bfc Planning, Inc. for Dmk Advisor Group, Inc. (registered 2026-03-02)Mar 17, 2026 · Advisor changed firm · fact
- Anthony Edward Buford left Bfc Planning, Inc. for Berthel Fisher & Company Financial Services, Inc. (registered 2016-12-19)Mar 13, 2026 · Advisor changed firm · fact
- Stuart Seffrood left Bfc Planning, Inc. for Ameriprise Financial Services, Llc (registered 2026-03-03)Mar 4, 2026 · Advisor changed firm · fact
- Bret Alexander Hartman left Bfc Planning, Inc. for Cetera Investment Advisers Llc (registered 2026-01-26)Feb 3, 2026 · Advisor changed firm · fact
- Royce Lee Cannon left Bfc Planning, Inc. for Quincy Wells Advisors, Llc (registered 2026-01-26)Feb 3, 2026 · Advisor changed firm · fact
- Daniel Gerard Meehan left Bfc Planning, Inc. for Cape Investment Advisory, Inc. (registered 2026-08-21)Dec 15, 2025 · Advisor changed firm · fact
- David Day left Bfc Planning, Inc. for J.P. Morgan Securities Llc (registered 2026-01-26)Dec 12, 2025 · Advisor changed firm · fact
- Robert Mckay left Bfc Planning, Inc. for Nautical Star Financial Group Llc (registered 2025-12-05)Dec 3, 2025 · Advisor changed firm · fact
- J. Kyle Haugen left Bfc Planning, Inc. for Cetera Investment Advisers Llc (registered 2026-01-06)Nov 21, 2025 · Advisor changed firm · fact
- Gerard Stephen Diaz left Bfc Planning, Inc. for Wells Fargo Advisors (registered 2025-11-19)Nov 12, 2025 · Advisor changed firm · fact
- David Greg Birrell left Bfc Planning, Inc. for Lpl Financial Llc (registered 2025-10-23)Oct 20, 2025 · Advisor changed firm · fact
- Randal James Gabaldon left Bfc Planning, Inc. for Ameriprise Financial Services, Llc (registered 2025-09-16)Sep 16, 2025 · Advisor changed firm · fact
- 2 advisors left Bfc Planning, Inc. (Dixon, IL) for Ameriprise Financial Services, LLC on the same daySep 16, 2025 · Team lift-out · derived
- Jeffrey Alan Haub left Bfc Planning, Inc. for Ameriprise Financial Services, Llc (registered 2025-09-12)Sep 16, 2025 · Advisor changed firm · fact
- Stephen M Plackis left Bfc Planning, Inc. for Lpl Financial Llc (registered 2025-07-14)Jul 15, 2025 · Advisor changed firm · fact
- John T Lund left Bfc Planning, Inc. for Ria Advisory Group, Llc (registered 2025-07-14)Jun 27, 2025 · Advisor changed firm · fact
- Clifton Scott Johnson left Bfc Planning, Inc. for Dmk Advisor Group, Inc. (registered 2025-01-21)Jan 21, 2025 · Advisor changed firm · fact
- Michael Rosenthal left Bfc Planning, Inc. for Upskill Wealth Management, Llc (registered 2024-10-29)Oct 28, 2024 · Advisor changed firm · fact
- Christopher Michael Tasik left Bfc Planning, Inc. for United Advisor Group (registered 2024-10-28)Oct 28, 2024 · Advisor changed firm · fact
- Augustus Grant Hames left Bfc Planning, Inc. for Jt Stratford, Llc (registered 2024-08-08)Aug 1, 2024 · Advisor changed firm · fact
- Steven John Mrozek left Bfc Planning, Inc. for Blueprint Financial Advisors (registered 2024-07-29)Jul 29, 2024 · Advisor changed firm · fact
- Taylor Jerome Ripka left Bfc Planning, Inc. for Lpl Financial Llc (registered 2024-06-07)Jun 7, 2024 · Advisor changed firm · fact
- 2 advisors left Securities America Advisors, Inc. (North Mankato, MN) for Bfc Planning, Inc. on the same dayJun 3, 2024 · Team lift-out · derived
- Roger Dean Frank left Bfc Planning, Inc. for Lpl Financial Llc (registered 2024-05-02)May 1, 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/BERTHEL-FISHER-&-COMPANY-FINANCIAL-SERVreportedpublic record, Form ADV, Sep 18, 2026
- Website
- BFCPLANNING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 319-447-5700reportedpublic record, Form ADV, Mar 27, 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
- $16.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026