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.

Former SEC-registered adviser

Cuna Brokerage Services, Inc.

Former SEC-registered adviserWaverly, IowaCRD 13941SEC 801-60099IAPD
Latest filing Mar 31, 2022
First filing on the tape Nov 16, 2011 · 39 filings
RAUM
$5.8B
reported, Item 5.F
Discretionary
0.4%
of RAUM
Private clients
71%
$4.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
716
576 advisory (5.B.1)
Offices
253
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$5.8B as of Mar 31, 2022
Mar 7, 2012$339M then
HNW client RAUM$1.4B as of Mar 31, 2022
Mar 29, 2018$760,203 then
State-registered IARs (5.B.3)716 as of Mar 31, 2022
Mar 27, 2013526 then
Employees (5.A)716 as of Mar 31, 2022
Mar 27, 2013526 then
Private funds: no history
RAUM +91% over the last fiscal year+37% a year over threeIARs 748 to 716offices 262 to 253
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$8.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$666,863derivedHNW RAUM over HNW clients
Average account
$286,184derivedRAUM over accounts (5.F.2.f)
Discretionary
0.4%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.8derived254 offices incl. principal (1.F.5)
RAUM growth, one year
+91%derivedbetween the last two annual amendments
Advisor growth, one year
-4.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+39%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$1.6BreportedItem 5.I
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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.7B47%
  • Corporations and businesses$1.6B28%
  • High-net-worth individuals$1.4B24%
  • Pension and profit-sharing plans$64.6M1.1%
  • Charitable organizations$13.2M0.2%
Individual clients
13,999reported
HNW clients
2,093reported
Pension plan clients
21reported
Charitable clients
17reported
Accounts
20,233reported
Financial planning clients
11-25reported
Wrap fee programs
$1.5B sponsored, $106M managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert James Comfort · Presidentcontrol
    since 07/2017 · owns less than 5%
  • John Monroe Jr. Landers · Chief Compliance Officercontrol
    since 08/2018 · owns less than 5%
  • David Lawrence Sweitzer · Directorcontrol
    since 10/2016 · owns less than 5%
  • Michael Frank Anderson · Director
    since 12/2015 · owns less than 5%
  • Paul Damien Barbato · Vice President, Secretary
    since 12/2018 · owns less than 5%
  • Jenny Marie Brock · Treasurer
    since 01/2017 · owns less than 5%
  • Paul Joseph Chong · Director
    since 03/2021 · owns less than 5%
  • Christopher Judd Copeland · Director
    since 11/2020 · owns less than 5%
  • William Anton Karls · Director
    since 08/2017 · owns less than 5%
  • Martin Kennedy Powell · Vice President
    since 10/2018 · owns less than 5%
Entity owners
  • Cuna Mutual Investment Corporation · Owner
    direct · owns 75% or more
  • Cmfg Life Insurance Company · 100% Owner Cmic
    indirect · owns 75% or more of Cuna Mutual Investment Corporation
Related persons
Schedule D 7.A
Advisers that list Cuna Brokerage Services, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Tampa, FL27 employees
  • Santa Ana, CA23 employees
  • South Bend, IN13 employees
  • Mclean, VA12 employees
  • Cottage Grove, WI10 employees
  • St. Joseph, MI10 employees
  • Saint Paul, MN8 employees
  • Melrose, MN8 employees
  • Morton, IL8 employees
  • Apple Valley, MN7 employees
  • Anchorage, AK7 employees
  • Onalaska, WI7 employees
  • Kalamazoo, MI6 employees
  • Lone Tree, CO6 employees
  • Hauppauge, NY5 employees
  • Albuquerque, NM5 employees
  • Columbus, IN5 employees
  • Columbia, SC5 employees
  • Richmond, VA5 employees
  • Antigo, WI5 employees
  • Evansville, IN5 employees
  • Tullahoma, TN5 employees
  • Philadelphia, PA5 employees
  • Waterloo, IA5 employees
  • Montpelier, VT5 employees
What changed
consecutive filings, newest first
  • Accounts · 15,081 to 20,233
    Aug 2, 2021 to Mar 31, 2022
  • Advisory employees · 586 to 576
    Aug 2, 2021 to Mar 31, 2022
  • BD registered reps · 748 to 716
    Aug 2, 2021 to Mar 31, 2022
  • Charity clients · 8 to 17
    Aug 2, 2021 to Mar 31, 2022
  • HNW clients · 361 to 2,093
    Aug 2, 2021 to Mar 31, 2022
  • Individual clients · 11,191 to 13,999
    Aug 2, 2021 to Mar 31, 2022
  • Pension plan clients · 4 to 21
    Aug 2, 2021 to Mar 31, 2022
  • Employees · 748 to 716
    Aug 2, 2021 to Mar 31, 2022
  • Financial planning clients · 1-10 to 11-25
    Aug 2, 2021 to Mar 31, 2022
  • State-registered IARs · 748 to 716
    Aug 2, 2021 to Mar 31, 2022
  • Other offices · 262 to 253
    Aug 2, 2021 to Mar 31, 2022
  • Discretionary RAUM · $18.5M to $24.3M
    Aug 2, 2021 to Mar 31, 2022
  • HNW RAUM · $394M to $1.4B
    Aug 2, 2021 to Mar 31, 2022
  • Individual RAUM · $1.6B to $2.7B
    Aug 2, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $3.0B to $5.8B
    Aug 2, 2021 to Mar 31, 2022
  • Pension RAUM · $240,430 to $64.6M
    Aug 2, 2021 to Mar 31, 2022
  • RAUM · $3.0B to $5.8B
    Aug 2, 2021 to Mar 31, 2022
  • Wrap assets (manager) · $84.7M to $106M
    Aug 2, 2021 to Mar 31, 2022
  • Wrap assets (sponsor) · $650M to $1.5B
    Aug 2, 2021 to Mar 31, 2022
  • Accounts · 11,478 to 15,081
    Nov 6, 2020 to Mar 31, 2021
  • Advisory employees · 556 to 586
    Nov 6, 2020 to Mar 31, 2021
  • BD registered reps · 703 to 748
    Nov 6, 2020 to Mar 31, 2021
  • Charity clients · 15 to 8
    Nov 6, 2020 to Mar 31, 2021
  • Corporate clients · 173 to 152
    Nov 6, 2020 to Mar 31, 2021
  • HNW clients · 375 to 361
    Nov 6, 2020 to Mar 31, 2021
  • Individual clients · 8,269 to 11,191
    Nov 6, 2020 to Mar 31, 2021
  • Pension plan clients · 9 to 4
    Nov 6, 2020 to Mar 31, 2021
  • Employees · 703 to 748
    Nov 6, 2020 to Mar 31, 2021
  • State-registered IARs · 703 to 748
    Nov 6, 2020 to Mar 31, 2021
  • Discretionary RAUM · $215,446 to $18.5M
    Nov 6, 2020 to Mar 31, 2021
  • HNW RAUM · $302M to $394M
    Nov 6, 2020 to Mar 31, 2021
  • Individual RAUM · $1.4B to $1.6B
    Nov 6, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $2.8B to $3.0B
    Nov 6, 2020 to Mar 31, 2021
  • Pension RAUM · $346,306 to $240,430
    Nov 6, 2020 to Mar 31, 2021
  • RAUM · $2.8B to $3.0B
    Nov 6, 2020 to Mar 31, 2021
  • Wrap assets (manager) · $0 to $84.7M
    Nov 6, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · $262M to $650M
    Nov 6, 2020 to Mar 31, 2021
  • Accounts · 7,426 to 11,478
    Nov 21, 2019 to Mar 30, 2020
  • Advisory employees · 557 to 556
    Nov 21, 2019 to Mar 30, 2020
  • BD registered reps · 734 to 703
    Nov 21, 2019 to Mar 30, 2020
Signals
60 dated events
  • Mark A Ruhe left Cuna Brokerage Services, Inc. for Potomac (registered 2023-08-23)
    Mar 30, 2023 · Advisor changed firm · fact
  • Martin James Mangialardi left Cuna Brokerage Services, Inc. for Osaic Institutions, Inc. (registered 2026-05-08)
    Mar 30, 2023 · Advisor changed firm · fact
  • Jeffrey Lee Blum left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2026-03-05)
    Mar 30, 2023 · Advisor changed firm · fact
  • Benjamin Fisher left Cuna Brokerage Services, Inc. for Ameritas Advisory Services, Llc (registered 2024-03-25)
    Mar 30, 2023 · Advisor changed firm · fact
  • Jolene Kay Henn left Cuna Brokerage Services, Inc. for Transamerica Financial Advisors, Llc (registered 2023-09-05)
    Mar 30, 2023 · Advisor changed firm · fact
  • Michael Joe Mason left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2026-03-23)
    Mar 30, 2023 · Advisor changed firm · fact
  • 4 advisors left Cuna Brokerage Services, Inc. (Allison, IA) for LPL Financial LLC on the same day
    Mar 30, 2023 · Team lift-out · derived
  • Chad M Mueller left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2026-02-13)
    Mar 30, 2023 · Advisor changed firm · fact
  • Trent Tredinnick left Cuna Brokerage Services, Inc. for Enrich Financial Partners Llc (registered 2024-08-15)
    Mar 30, 2023 · Advisor changed firm · fact
  • Mindy Minarik-Prins left Cuna Brokerage Services, Inc. for Empower Advisory Group, Llc (registered 2024-07-24)
    Mar 30, 2023 · Advisor changed firm · fact
  • Laure Renee Meyer left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2025-01-16)
    Mar 30, 2023 · Advisor changed firm · fact
  • Steven John Krueger left Cuna Brokerage Services, Inc. for Ae Wealth Management, Llc (registered 2023-01-18)
    Dec 31, 2022 · Advisor changed firm · fact
  • Adam I Khalifa left Cuna Brokerage Services, Inc. for Citizens Securities, Inc. (registered 2022-09-16)
    Sep 2, 2022 · Advisor changed firm · fact
  • Shaila Nicole Maloney left Cuna Brokerage Services, Inc. for Nuveen Asset Management, Llc (registered 2022-07-20)
    Jun 24, 2022 · Advisor changed firm · fact
  • Kim Marie Pruitt left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2022-05-18)
    Jun 6, 2022 · Advisor changed firm · fact
  • 2 advisors left Cuna Brokerage Services, Inc. (Waverly, IA) for LPL Financial LLC on the same day
    Jun 6, 2022 · Team lift-out · derived
  • David Allan Stern left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2022-06-17)
    Jun 6, 2022 · Advisor changed firm · fact
  • Randolph James Tate left Cuna Brokerage Services, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-16)
    May 30, 2022 · Advisor changed firm · fact
  • Michelle Denise Cooley left Cuna Brokerage Services, Inc. for The Wealth Consulting Group (registered 2022-11-01)
    May 18, 2022 · Advisor changed firm · fact
  • James Frederick Collins left Cuna Brokerage Services, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-16)
    May 17, 2022 · Advisor changed firm · fact
  • Karl Patrick Tweardy left Cuna Brokerage Services, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-16)
    May 17, 2022 · Advisor changed firm · fact
  • 4 advisors left Cuna Brokerage Services, Inc. (Henrico, VA) for Ameriprise Financial Services, LLC within 13 days
    May 17, 2022 · Team lift-out · derived
  • Joel Donald Marks left Cuna Brokerage Services, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-19)
    May 17, 2022 · Advisor changed firm · fact
  • Robert Clinton Chastain left Cuna Brokerage Services, Inc. for Annex Wealth Management, Llc (registered 2022-05-26)
    May 17, 2022 · Advisor changed firm · fact
  • Elizabeth Joseph left Cuna Brokerage Services, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-05-16)
    May 16, 2022 · Advisor changed firm · fact
  • Jeremey Seth Hill left Cuna Brokerage Services, Inc. for Cetera Investment Advisers Llc (registered 2023-06-29)
    May 13, 2022 · Advisor changed firm · fact
  • Scott Ratajczak left Cuna Brokerage Services, Inc. for Fidelity Personal And Workplace Advisors (registered 2022-08-31)
    May 10, 2022 · Advisor changed firm · fact
  • Monica Sashil Chandra left Cuna Brokerage Services, Inc. for Osaic Institutions, Inc. (registered 2022-05-03)
    May 5, 2022 · Advisor changed firm · fact
  • Dennis Leroy Mollison left Cuna Brokerage Services, Inc. for Osaic Institutions, Inc. (registered 2022-05-03)
    May 5, 2022 · Advisor changed firm · fact
  • Farhad Sediqi left Cuna Brokerage Services, Inc. for Osaic Institutions, Inc. (registered 2022-05-03)
    May 5, 2022 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026