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

Ria Advisory Group, LLC

Independent wealth managerDes Moines, IowaCRD 152566SEC 801-117837websiteIAPD
Latest filing Jun 23, 2026
First filing on the tape Dec 21, 2011 · 37 filings
SEC status approved since Jan 2, 2020
RAUM
$568M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$558M individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$23.7M
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$568M as of Jun 23, 2026
Mar 28, 2020$130M then
HNW client RAUM$242M as of Jun 23, 2026
Mar 28, 2020$40.5M then
State-registered IARs (5.B.3)25 as of Jun 23, 2026
Mar 28, 202014 then
Employees (5.A)25 as of Jun 23, 2026
Mar 28, 202014 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 23 to 25
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
RAUM per advisor
$23.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$176,078derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.8derived13 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+8.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+25%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$316M56%
  • High-net-worth individuals$242M43%
  • Corporations and businesses$9.2M1.6%
  • Pension and profit-sharing plans$967,2330.2%
Individual clients
1,867reported
HNW clients
101reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
3,228reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Benjamin Allen HeckartDes Moines, IaFeb 10, 201039 y2
Brian Lee VestalDes Moines, IaFeb 10, 201031 y3
John Thomas PeakThe Villages, Fl Sep 4, 201219 y4
Jeffrey Lawrence GibbonsAmes, IaSep 18, 201737 y3
Mary Louise GibbonsDes Moines, Ia Mar 1, 201929 y3
David Michael SuntkenDes Moines, Ia Aug 3, 202034 y4
Edward Allen SmithDes Moines, IaAug 3, 202026 y5
Patrick Michael MccabeSioux Falls, Sd Aug 6, 202011 y3
Laurie Jo KetterlingDes Moines, Ia Aug 6, 202015 y2
Christopher John HansonPiedmont, Sd Aug 6, 202029 y4
Dana Gene RauschSioux Falls, Sd Aug 14, 202017 y2
Andrew Hughes SusaninDes Moines, Ia Aug 19, 202028 y5
Houstyn Parker HeinzCertified Financial PlannerDes Moines, Ia Jul 23, 202310 y0
Paul Dean KatsionDes Moines, Ia Nov 16, 202310 y0
Tyler Mitchell Bookin-NosbischCertified Financial PlannerDes Moines, IaMar 4, 202412 y1
Keaton FalkSioux Falls, Sd Jul 10, 202410 y1
Chris WestonCertified Financial Planner, Chartered Financial ConsultantDes Moines, IaOct 9, 202430 y6
Nathan Dale FichterElk Horn, Ne Dec 12, 202425 y2
Aaron John HansonDes Moines, Ia Dec 19, 202413 y0
John T LundCertified Financial PlannerDes Moines, Ia Jul 14, 202511 y4
Erin Corrinne RobertsDes Moines, Ia Nov 5, 202520 y0
Zachary VeenstraPella, Ia Feb 10, 202610 y0
Todd William AdamsOmaha, Ne Jun 26, 202616 y2
Jeffrey Paul StierApple Valley, MnJun 29, 202628 y0
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
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
    • Louise Mary Gibbons · Ccocontrol
      since 10/2019 · owns 25% to 50%
    • Lee Brian Vestal · Managing Membercontrol
      since 12/2020 · owns 25% to 50%
    • Lawrence Jeffrey Gibbons · Member/Owner
      since 10/2019 · owns 10% to 25%
    • John Christopher Hanson · Member/Owner
      since 12/2020 · owns 10% to 25%
    • Gene Dana Rausch · Member/Owner
      since 12/2020 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • Jeffrey Stier
      n
    • John T. Peak, Jr.
      insurancen
    • Mark Robinson
      real estaten
    • Pamela Olinger
      insurancen
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Des Moines, Ia · principal2232
    Sioux Falls, Sd500
    Ames, Ia200
    Piedmont, Sd200
    The Villages, Fl200
    Offices
    Schedule D 1.F, the 25 largest
    • Sioux Falls, SD4 employees
    • Ames, IA2 employees
    • Mount Pleasant, IA2 employees
    • Apple Valley, MN1 employees
    • Buffalo, MN1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,009 to 3,228
      Jan 5, 2026 to Mar 30, 2026
    • Advisory employees · 23 to 25
      Jan 5, 2026 to Mar 30, 2026
    • Corporate clients · 22 to 25
      Jan 5, 2026 to Mar 30, 2026
    • HNW clients · 95 to 101
      Jan 5, 2026 to Mar 30, 2026
    • Individual clients · 1,479 to 1,867
      Jan 5, 2026 to Mar 30, 2026
    • Pension plan clients · 22 to 3
      Jan 5, 2026 to Mar 30, 2026
    • Employees · 23 to 25
      Jan 5, 2026 to Mar 30, 2026
    • State-registered IARs · 23 to 25
      Jan 5, 2026 to Mar 30, 2026
    • Other offices · 11 to 12
      Jan 5, 2026 to Mar 30, 2026
    • Discretionary RAUM · $446M to $562M
      Jan 5, 2026 to Mar 30, 2026
    • HNW RAUM · $204M to $242M
      Jan 5, 2026 to Mar 30, 2026
    • Individual RAUM · $233M to $316M
      Jan 5, 2026 to Mar 30, 2026
    • Non-discretionary RAUM · $10.5M to $6.5M
      Jan 5, 2026 to Mar 30, 2026
    • Pension RAUM · $6.7M to $967,233
      Jan 5, 2026 to Mar 30, 2026
    • RAUM · $457M to $568M
      Jan 5, 2026 to Mar 30, 2026
    • Financial planning clients · 0 to 0
      Aug 13, 2025 to Nov 20, 2025
    • Other offices · 12 to 11
      Mar 18, 2025 to Aug 13, 2025
    • Accounts · 2,799 to 3,009
      Dec 18, 2024 to Mar 18, 2025
    • Advisory employees · 24 to 23
      Dec 18, 2024 to Mar 18, 2025
    • Corporate clients · 23 to 22
      Dec 18, 2024 to Mar 18, 2025
    • HNW clients · 71 to 95
      Dec 18, 2024 to Mar 18, 2025
    • Individual clients · 1,555 to 1,479
      Dec 18, 2024 to Mar 18, 2025
    • Pension plan clients · 16 to 22
      Dec 18, 2024 to Mar 18, 2025
    • Employees · 24 to 23
      Dec 18, 2024 to Mar 18, 2025
    • State-registered IARs · 24 to 23
      Dec 18, 2024 to Mar 18, 2025
    • Discretionary RAUM · $392M to $446M
      Dec 18, 2024 to Mar 18, 2025
    • HNW RAUM · $139M to $204M
      Dec 18, 2024 to Mar 18, 2025
    • Individual RAUM · $241M to $233M
      Dec 18, 2024 to Mar 18, 2025
    • Non-discretionary RAUM · $6.7M to $10.5M
      Dec 18, 2024 to Mar 18, 2025
    • Pension RAUM · $8.3M to $6.7M
      Dec 18, 2024 to Mar 18, 2025
    • RAUM · $399M to $457M
      Dec 18, 2024 to Mar 18, 2025
    • Advisory employees · 23 to 24
      Oct 10, 2024 to Dec 18, 2024
    • Employees · 23 to 24
      Oct 10, 2024 to Dec 18, 2024
    • State-registered IARs · 23 to 24
      Oct 10, 2024 to Dec 18, 2024
    • Advisory employees · 22 to 23
      Jul 29, 2024 to Oct 10, 2024
    • Employees · 22 to 23
      Jul 29, 2024 to Oct 10, 2024
    • State-registered IARs · 22 to 23
      Jul 29, 2024 to Oct 10, 2024
    • Advisory employees · 21 to 22
      Apr 4, 2024 to Jul 22, 2024
    • Employees · 21 to 22
      Apr 4, 2024 to Jul 22, 2024
    • State-registered IARs · 21 to 22
      Apr 4, 2024 to Jul 22, 2024
    Signals
    10 dated events
    • Kirk James Bond left Ria Advisory Group, Llc for Apexedge Llc (registered 2026-03-06)
      Mar 30, 2026 · Advisor changed firm · fact
    • Mark Steven Robinson left Ria Advisory Group, Llc for Gradient Advisors, Llc (registered 2026-04-22)
      Nov 20, 2025 · Advisor changed firm · fact
    • Ria Advisory Group, Llc reported RAUM $351.8M, up 171% from $129.7M (2020-12-23 to 2021-03-16)
      Mar 16, 2021 · RAUM change · derived
    • Ria Advisory Group, Llc reported 16 offices beyond its principal office, up from 11 (2020-06-26 to 2020-08-03)
      Aug 3, 2020 · Office count change · derived
    • Allen Benjamin Heckart (Managing Member) no longer on Schedule A of Ria Advisory Group, Llc (listed 2012-01-25, absent 2019-11-21)
      Nov 21, 2019 · Control person left · inference
    • Ria Advisory Group, Llc filed its initial SEC registration (Form ADV)
      Nov 21, 2019 · First SEC registration · fact
    • Todd Kevin Prink (Managing Member) no longer on Schedule A of Ria Advisory Group, Llc (listed 2012-01-25, absent 2019-11-21)
      Nov 21, 2019 · Control person left · inference
    • Louise Mary Gibbons (Cco) appeared on Schedule A of Ria Advisory Group, Llc
      Nov 21, 2019 · Control person joined · fact
    • Lawrence Jeffrey Gibbons (Managing Member) appeared on Schedule A of Ria Advisory Group, Llc
      Nov 21, 2019 · Control person joined · fact
    • Ann Linda Johnson-Lundquist (Managing Member/Chief Compliance Officer) no longer on Schedule A of Ria Advisory Group, Llc (listed 2012-01-25, absent 2019-11-21)
      Nov 21, 2019 · Control person left · inference
    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
    Website
    DakotaAdvisoryTeam.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (515) 965-8588reportedpublic record, Form ADV, Jun 23, 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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $23.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026