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
Berthel Fisher & Company Financial Services, Inc.
Legal name Berthel, Fisher & Company Financial Services, Inc.
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Aug 27, 2003
RAUM
$906M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
97%
$881M individuals and HNW
Advisors
71
registered through the firm on IAPD
RAUM per advisor
$12.8M
derived; firm RAUM over IAPD count
Employees
100
100 advisory (5.B.1)
Offices
55
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$906M as of Mar 27, 2026
Mar 30, 2012$630M then
HNW client RAUM$161M as of Mar 27, 2026
Mar 29, 2019$101M then
State-registered IARs (5.B.3)100 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)100 as of Mar 27, 2026
Mar 27, 2013235 then
Private funds: no history
RAUM +14% over the last fiscal year+32% a year over threeIARs 100 to 100offices 100 to 55
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
- $12.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $270,418derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.3derived56 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- 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$720M79%
- High-net-worth individuals$161M18%
- Corporations and businesses$20.4M2.2%
- Pension and profit-sharing plans$5.0M0.6%
- Individual clients
- 3,278reported
- HNW clients
- 45reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 3,352reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=100.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jean Iafrate SchneiderCertified Financial Planner | Galesburg, Il | Mar 31, 2003 | 39 y | 1 |
| Yvonne Curry | Irvine, Ca | Aug 26, 2003 | 39 y | 1 |
| Patrick Anthony Deorio | North Canton, Oh | Sep 2, 2003 | 28 y | 0 |
| Shelley Rae Davenport | Cedar Rapids, Ia | Jan 6, 2004 | 35 y | 1 |
| Heinz Erhard Ickert | Columbus, Oh | Mar 31, 2004 | 28 y | 0 |
| Michael McdyerCertified Financial Planner | Flemington, Nj | Jul 1, 2004 | 40 y | 0 |
| Roselyn Faye WilkinsonCertified Financial Planner | Pittsburgh, Pa | Oct 21, 2004 | 33 y | 2 |
| Michael James DelehantyCertified Financial Planner | Whispering Pines, Nc | Jan 20, 2005 | 40 y | 0 |
| Brian Eric Cantel | Flowery Branch, Ga | Jan 10, 2006 | 38 y | 1 |
| Philip Conrad Mcwilliams | Lawrence, Ks | Jan 20, 2006 | 31 y | 0 |
| Paul Gregory Busino | Suwanee, Ga | Mar 23, 2006 | 26 y | 0 |
| Gregory Edward Szabo | Elyria, Oh | Aug 15, 2006 | 37 y | 0 |
| James Welby TroutmanChartered Financial Consultant | Temple, Pa | Jun 26, 2007 | 43 y | 1 |
| William Kendrick Venables | Ottumwa, Ia | Jul 11, 2007 | 43 y | 0 |
| Laura Elizabeth DawsonCertified Financial Planner | Sulphur Springs, Tx | Jan 7, 2008 | 24 y | 0 |
| Chrystle Lynne Vesco | Merritt Island, Fl | Jun 10, 2008 | 19 y | 0 |
| Craig M Fredrickson | Bountiful, Ut | Aug 21, 2008 | 22 y | 1 |
| Lester Lovell Holmes | Elk Grove, Ca | Apr 20, 2009 | 25 y | 2 |
| Charles Michael Haddad | Bloomfield Hills, Mi | Jan 5, 2010 | 31 y | 1 |
| Robert Lane Johnson | Harrison, Oh | Apr 1, 2010 | 32 y | 2 |
| Richard John Johnson | Harrison, Oh | Apr 5, 2010 | 22 y | 1 |
| Elwyn Leroy Brown | Atlanta, Ga | Jan 5, 2011 | 24 y | 3 |
| Alan Matthew Sabo | Suwanee, Ga | Jan 2, 2013 | 27 y | 1 |
| Harry Mark Purcel | Corcoran, Mn | Jan 31, 2014 | 36 y | 0 |
| Tetyana Vyacheslavovna Haddad | Bloomfield Hills, Mi | Jul 12, 2016 | 17 y | 0 |
| John J. Wernke | Harrison, Oh | Jul 1, 2020 | 39 y | 1 |
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.9% of current headcount14 left over 36 months
Left, latest
- Anthony Edward Buford to LPL Financial LLCMar 13, 2026 · Affiliated broker-dealer or bank to another
- Jack Kenneth Caudle to LPL Financial LLCMar 13, 2026 · Affiliated broker-dealer or bank to another
- Benjamin Jeschke Gilmore to LPL Financial LLCMar 13, 2026 · Affiliated broker-dealer or bank to another
- Todd Kenneth Caudle to LPL Financial LLCMar 13, 2026 · Affiliated broker-dealer or bank to another
- Chad Lee Hartman to LPL Financial LLCMar 13, 2026 · Affiliated broker-dealer or bank to another
- Rod Paul Olson to Dai Wealth, LLCJan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- David Greg Birrell to Bfc Planning, Inc.Oct 20, 2025 · Other
- Randal James Gabaldon to Bfc Planning, Inc.Sep 16, 2025 · Other
- Kevin Lee Czarnecki to LPL Financial LLCOct 28, 2024 · Affiliated broker-dealer or bank to another
- Deanna Joyce Czarnecki to LPL Financial LLCOct 28, 2024 · Affiliated broker-dealer or bank to another
- Bruce E Schreiner to LPL Financial LLCMay 7, 2024 · Affiliated broker-dealer or bank to another
- Roger Dean Frank to Bfc Planning, Inc.May 1, 2024 · Other
- Joan Bevan Birdsell to Bfc Planning, Inc.Mar 15, 2024 · Other
- Bruce Ira Greenberg to Kingswood Wealth Advisors, LLCDec 31, 2023 · Affiliated broker-dealer or bank to another
- Mary Ellen Oestmann to LPL Financial LLCJul 25, 2023 · Affiliated broker-dealer or bank to another
Joined, latest
- Brian Allan Thomson from Bfc Planning, Inc.Feb 11, 2022 · Affiliated broker-dealer or bank to another
- Rickey Richard Tiedemann from Morgan StanleyNov 2, 2021 · Wirehouse to affiliated broker-dealer or bank
- John J. Wernke from Primerica AdvisorsJul 1, 2020 · Affiliated broker-dealer or bank to another
- Jammie Lee Lowe from Bfc Planning, Inc.Jan 9, 2020 · Affiliated broker-dealer or bank to another
- Louise Dorothy Holtz from Bfc Planning, Inc.Dec 5, 2019 · Affiliated broker-dealer or bank to another
- Christopher Joseph Deleonardo from Bb&T Investment Services, Inc.Nov 8, 2017 · Other
- Anthony Edward Buford from Bfc Planning, Inc.Dec 19, 2016 · Other
- John Matthew Eyen from Waddell & ReedJul 19, 2016 · Other
- Wade Michael Johnson from Atcapital ManagementSep 29, 2015 · Other
- Brian Michael Lehner from Vfg Advisors, Inc.Jun 24, 2015 · Other
- Michael Todd Shinn from Sorrento Pacific Financial, LLCJun 24, 2015 · Other
- Alexander Schaefer from Equitable Advisors, LLCNov 8, 2013 · Other
- Andrew Stephen Rodgers from Esi Financial AdvisorsNov 1, 2013 · Other
- Ryan Edward Nielsen from Invest Financial CorporationOct 3, 2013 · Other
- Jeffrey Wright from Esi Financial AdvisorsSep 3, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for LPL Financial LLCMar 13, 2026 · Atchison, Ks
- 2 left for LPL Financial LLCOct 28, 2024 · Eugene, Or
- 2 left for Derks Financial, LLCSep 30, 2021 · Blue Springs, Mo
- 2 left for Woodbury Financial Services, Inc.Dec 18, 2019 · Ann Arbor, Mi
- 2 left for Bfc Planning, Inc.Sep 10, 2018 · San Diego, Ca
- 2 left for Richmark Private Wealth ManagementJun 22, 2018 · Saginaw, Mi
- 2 left for Cetera Investment Advisers LLCOct 12, 2016 · Minneapolis, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Joseph Berthel · Chairman Of The Board/Executive Vice Presidentcontrolsince 09/2023 · owns less than 5%
- Thomas Joseph Berthel · Common Stock Shareholdercontrolsince 12/1997 · owns 25% to 50% of Berthel Fisher & Company
- Kimberly Karen Early Chapman · Chief Compliance Officersince 12/2020 · owns less than 5%
- Andrew James Christofferson · Chief Executive Officer/Presidentsince 09/2023 · owns less than 5%
- Shelley Rae Davenport · Vice President Legal & Regulatory Matters (A/O 11/2017)since 07/2014 · owns less than 5%
- James Ralph Hohn · Vice President/Technologysince 12/2020 · owns less than 5%
- Richard Maurice Murphy · Executive Vice Presidentsince 11/2017 · owns less than 5%
- Brittany Michelle Noethen · Chief Technology Officersince 11/2017 · owns less than 5%
- Brian Rupp · Chief Financial Officer/Treasurer (A/O 11/5/2020)since 09/2023 · owns less than 5%
- Joanna Marie Schaul · Chief Administration Officer/Secretary (A/O 11/2017)since 09/2023 · owns less than 5%
- Nathanael Spencer · Vice President Of Business Developmentsince 10/2002 · owns less than 5%
- Paige Nichole Swartzendruber · Chief Business Development Officersince 09/2023 · owns less than 5%
- Randy Austin Wilcox · Vice President Compliance/Osj Managersince 06/2021 · owns less than 5%
Entity owners
- Berthel Fisher & Company · 100% Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bfc Planning, Inc.investment adviseryRAUM $3.8B
Advisers that list Berthel Fisher & Company Financial Services, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia · principal | 9 | 0 | 1 | ||
| Edwards, Co | 3 | 0 | 0 | ||
| Harrison, Oh | 3 | 0 | 0 | ||
| Bloomfield Hills, Mi | 2 | 0 | 0 | ||
| Cottonwood Heights, Ut | 2 | 0 | 0 | ||
| Elk Grove, Ca | 2 | 0 | 0 | ||
| Hideaway, Tx | 2 | 0 | 0 | ||
| Minot, Nd | 2 | 0 | 0 | ||
| Northbrook, Il | 2 | 0 | 0 | ||
| Plymouth, Mn | 2 | 0 | 0 | ||
| Sacramento, Ca | 2 | 0 | 0 | ||
| Sarasota, Fl | 2 | 0 | 0 | ||
| Sulphur Springs, Tx | 2 | 0 | 0 | ||
| Suwanee, Ga | 2 | 0 | 0 | ||
| St Joseph, Mo | 0 | 0 | 1 | ||
| Eugene, Or | 0 | 0 | 0 | ||
| Rancho Cordova, Ca | 0 | 0 | 0 | ||
| Lenexa, Ks | 0 | 0 | 1 | ||
| Lincoln, Ne | 0 | 0 | 0 | ||
| Atchison, Ks | 0 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Atchison, KS4 employees
- Sulphur Springs, TX3 employees
- Edwards, CO3 employees
- Harrison, OH3 employees
- Suwanee, GA2 employees
- Graham, NC2 employees
- Minot, ND2 employees
- Burlington, IA2 employees
- Sarasota, FL2 employees
- , 2 employees
- Helena, MT2 employees
- Sacramento, CA2 employees
- Bloomfield Hills, MI2 employees
- Peoria, AZ2 employees
- Northbrook, IL2 employees
- Midvale, UT2 employees
- Plymouth, MN2 employees
- Sacramento, CA2 employees
- Eugene, OR2 employees
- Lawrence, KS1 employees
- Forsyth, IL1 employees
- Zionsville, IN1 employees
- Toledo, OH1 employees
- Bismarck, ND1 employees
- Pittsburgh, PA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 64.0% to 48.0% between the annual amendments of 2025-03-26 and 2026-03-27peers: affiliated wealth managers (187)
- office count dropChange between filings · filing Mar 27, 2026offices other than the principal office (Item 1.F.5) moved from 100.0 to 55.0 (-45.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +3.0% (20 comparable advisers, 0.0th percentile of changes)peers: affiliated wealth managers (20) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 3,408 to 3,352Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 28 to 19Mar 26, 2025 to Mar 27, 2026
- HNW clients · 48 to 45Mar 26, 2025 to Mar 27, 2026
- Individual clients · 2,848 to 3,278Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 18 to 10Mar 26, 2025 to Mar 27, 2026
- Other offices · 100 to 55Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $509M to $438MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $137M to $161MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $634M to $720MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $289M to $468MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $6.7M to $5.0MMar 26, 2025 to Mar 27, 2026
- RAUM · $798M to $906MMar 26, 2025 to Mar 27, 2026
- Accounts · 3,481 to 3,408Mar 25, 2024 to Mar 26, 2025
- Corporate clients · 35 to 28Mar 25, 2024 to Mar 26, 2025
- HNW clients · 145 to 48Mar 25, 2024 to Mar 26, 2025
- Individual clients · 2,657 to 2,848Mar 25, 2024 to Mar 26, 2025
- Pension plan clients · 13 to 18Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 11-25Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $452M to $509MMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $260M to $137MMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $448M to $634MMar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $290M to $289MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $11.6M to $6.7MMar 25, 2024 to Mar 26, 2025
- RAUM · $742M to $798MMar 25, 2024 to Mar 26, 2025
- Accounts · 2,247 to 3,481Mar 30, 2023 to Mar 25, 2024
- Corporate clients · 8 to 35Mar 30, 2023 to Mar 25, 2024
- HNW clients · 74 to 145Mar 30, 2023 to Mar 25, 2024
- Individual clients · 2,163 to 2,657Mar 30, 2023 to Mar 25, 2024
- Pension plan clients · unset to 13.0Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $332M to $452MMar 30, 2023 to Mar 25, 2024
- HNW RAUM · $111M to $260MMar 30, 2023 to Mar 25, 2024
- Individual RAUM · $284M to $448MMar 30, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $63.5M to $290MMar 30, 2023 to Mar 25, 2024
- Pension RAUM · $113,471 to $11.6MMar 30, 2023 to Mar 25, 2024
- RAUM · $396M to $742MMar 30, 2023 to Mar 25, 2024
- Accounts · 4,139 to 2,247Nov 10, 2022 to Mar 30, 2023
- HNW clients · 355 to 74Nov 10, 2022 to Mar 30, 2023
- Individual clients · 3,674 to 2,163Nov 10, 2022 to Mar 30, 2023
- Pension plan clients · 102.0 to unsetNov 10, 2022 to Mar 30, 2023
- Discretionary RAUM · $815M to $332MNov 10, 2022 to Mar 30, 2023
Signals
30 dated events
- Berthel Fisher & Company Financial Services, Inc. reported 55 offices beyond its principal office, down from 100 (2025-03-26 to 2026-03-27)Mar 27, 2026 · Office count change · derived
- Jack Kenneth Caudle left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2026-03-10)Mar 13, 2026 · Advisor changed firm · fact
- 4 advisors left Berthel Fisher & Company Financial Services, Inc. (Atchison, KS) for LPL Financial LLC on the same dayMar 13, 2026 · Team lift-out · derived
- Benjamin Jeschke Gilmore left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2026-03-10)Mar 13, 2026 · Advisor changed firm · fact
- Todd Kenneth Caudle left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2026-03-10)Mar 13, 2026 · Advisor changed firm · fact
- Chad Lee Hartman left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2026-03-10)Mar 13, 2026 · Advisor changed firm · fact
- Anthony Edward Buford left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2026-03-10)Mar 13, 2026 · Advisor changed firm · fact
- Rod Paul Olson left Berthel Fisher & Company Financial Services, Inc. for Dai Wealth, Llc (registered 2026-01-04)Jan 2, 2026 · Advisor changed firm · fact
- David Greg Birrell left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2016-09-28)Oct 20, 2025 · Advisor changed firm · fact
- Randal James Gabaldon left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2016-11-16)Sep 16, 2025 · Advisor changed firm · fact
- 2 advisors left Berthel Fisher & Company Financial Services, Inc. (Eugene, OR) for LPL Financial LLC on the same dayOct 28, 2024 · Team lift-out · derived
- Kevin Lee Czarnecki left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2024-10-28)Oct 28, 2024 · Advisor changed firm · fact
- Deanna Joyce Czarnecki left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2024-10-28)Oct 28, 2024 · Advisor changed firm · fact
- Bruce E Schreiner left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2025-04-04)May 7, 2024 · Advisor changed firm · fact
- Roger Dean Frank left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2016-08-09)May 1, 2024 · Advisor changed firm · fact
- Berthel Fisher & Company Financial Services, Inc. reported RAUM $742.2M, up 87% from $395.9M (2023-03-30 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Joan Bevan Birdsell left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2016-11-29)Mar 15, 2024 · Advisor changed firm · fact
- Bruce Ira Greenberg left Berthel Fisher & Company Financial Services, Inc. for Kingswood Wealth Advisors, Llc (registered 2024-01-15)Dec 31, 2023 · Advisor changed firm · fact
- Mary Ellen Oestmann left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2023-07-24)Jul 25, 2023 · Advisor changed firm · fact
- Matthew Charles Fox left Berthel Fisher & Company Financial Services, Inc. for Lpl Financial Llc (registered 2023-06-06)Jun 5, 2023 · Advisor changed firm · fact
- Cory Britt Hoagstrom left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2016-08-29)Jun 5, 2023 · Advisor changed firm · fact
- Berthel Fisher & Company Financial Services, Inc. reported RAUM $395.9M, down 59% from $970.3M (2022-11-10 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Melinda Cook Mccullough left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2018-09-27)Nov 30, 2022 · Advisor changed firm · fact
- Jeremy Shane Hay left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2018-09-27)Nov 30, 2022 · Advisor changed firm · fact
- Brian Allan Thomson left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2022-02-11)Oct 24, 2022 · Advisor changed firm · fact
- James David Beaudoin left Berthel Fisher & Company Financial Services, Inc. for Quincy Wells Advisors, Llc (registered 2024-01-16)May 12, 2022 · Advisor changed firm · fact
- Berthel Fisher & Company Financial Services, Inc. reported 100 offices beyond its principal office, down from 153 (2022-02-23 to 2022-03-31)Mar 31, 2022 · Office count change · derived
- Carter William Smelser left Berthel Fisher & Company Financial Services, Inc. for Bfc Planning, Inc. (registered 2015-01-29)Jan 20, 2022 · Advisor changed firm · fact
- Berthel Fisher & Company Financial Services, Inc. reported 153 offices beyond its principal office, up from 99 (2020-04-17 to 2020-05-06)May 6, 2020 · Office count change · derived
- Berthel Fisher & Company Financial Services, Inc. reported 99 offices beyond its principal office, down from 130 (2018-08-06 to 2019-03-29)Mar 29, 2019 · Office count change · derived
Across DFX
shared identifiers only, never a name match
- Berthel, Fisher & Company Financial Services, Inc. · Private Equityshared crd · intermediary
- Berthel, Fisher & Company Financial Services, Inc. · Venture Capitalshared crd · org
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
- BERTHEL.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
- $12.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026