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
Nations Financial Group, Inc.
Latest filing Mar 18, 2026
First filing on the tape Mar 2, 2012 · 40 filings
SEC status approved since May 3, 2000
RAUM
$4.8B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
96%
$4.6B individuals and HNW
Advisors
89
registered through the firm on IAPD
RAUM per advisor
$53.6M
derived; firm RAUM over IAPD count
Employees
94
81 advisory (5.B.1)
Offices
39
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$4.8B as of Mar 18, 2026
Mar 2, 2012$250M then
HNW client RAUM$3.4B as of Mar 18, 2026
Mar 14, 2018$433M then
State-registered IARs (5.B.3)81 as of Mar 18, 2026
Mar 2, 20120 then
Employees (5.A)94 as of Mar 18, 2026
Feb 4, 201352 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 87 to 81offices 35 to 39
Practice profile
derived from the filing of Mar 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
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $452,916derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.3derived40 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, 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
- Wrap fee program
- $2.4BreportedItem 5.I
- Custody
- $4.7B, 5,559 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 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.4B71%
- Individuals$1.2B25%
- Corporations and businesses$113M2.4%
- Pension and profit-sharing plans$32.8M0.7%
- Charitable organizations$26.0M0.5%
- Individual clients
- 3,900reported
- HNW clients
- 1,625reported
- Pension plan clients
- 14reported
- Charitable clients
- 16reported
- Accounts
- 10,535reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.8B managedreported
- Custody of client assets
- $4.7B for 5,559 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=79.0derived
Advisors registered through the firm
90 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Scott Bennett | Cedar Rapids, Ia | Jul 13, 2000 | 45 y | 0 |
| Eugene Vincent Wehrheim | Cedar Rapids, Ia | Jan 19, 2001 | 39 y | 0 |
| Stephen Michael Cairney | Cedar Rapids, Ia | Jan 4, 2002 | 27 y | 0 |
| Eugene Vincent Wehrheim | Cedar Rapids, Ia | Apr 6, 2004 | 29 y | 0 |
| William Edward Shepard | Cedar Rapids, Ia | Feb 9, 2005 | 40 y | 1 |
| David Alan CoinerChartered Financial Consultant | Davenport, Ia | Apr 7, 2005 | 36 y | 3 |
| Robert Evans Russell | Naples, Fl | Jun 22, 2005 | 37 y | 1 |
| Martha Shepard Mccurry | Cedar Rapids, Ia | Jul 22, 2005 | 25 y | 0 |
| Nicolle Leann LandwehrCertified Financial Planner | Seaside, Or | Dec 7, 2005 | 30 y | 1 |
| Aaron Drew Sanstrum | Gresham, Or | Dec 12, 2005 | 30 y | 1 |
| Erik John Bjorseth | Cedar Rapids, Ia | Mar 7, 2006 | 24 y | 0 |
| Ross Eugene Devalois | Iowa City, Ia | Jun 9, 2006 | 44 y | 0 |
| William Edward Coan | Iowa City, Ia | Oct 24, 2006 | 40 y | 0 |
| Michelle Anne Blenderman | Ames, Ia | May 31, 2007 | 23 y | 1 |
| Gary Robert Carlson | Urbandale, Ia | Jul 25, 2007 | 41 y | 2 |
| Jordan Paul Bennett | Cedar Rapids, Ia | Jul 12, 2010 | 16 y | 0 |
| Rochelle Marie Henry Ernberger | Cedar Rapids, Ia | Sep 30, 2011 | 34 y | 1 |
| Steven Mark Loesch | Cedar Rapids, Ia | Oct 18, 2012 | 32 y | 1 |
| Deborah Kay Johnson | Cedar Rapids, Ia | Oct 18, 2012 | 41 y | 1 |
| Max Louis Conde | Manhattan, Ks | Jan 9, 2013 | 29 y | 0 |
| Rachel Ann Wehrheim | Cedar Rapids, Ia | Apr 18, 2013 | 24 y | 0 |
| Bradley Paul Zwanziger | Hiawatha, Ia | May 12, 2014 | 16 y | 0 |
| Matthew Brent Vawter | Cedar Rapids, Ia | Feb 9, 2015 | 31 y | 0 |
| Brian Gray Stein | Cedar Rapids, Ia | Dec 23, 2015 | 26 y | 1 |
| Rylan E Devalois | Iowa City, Ia | Jan 8, 2016 | 23 y | 0 |
| Jamie William McdonaldCertified Financial Planner | Cedar Rapids, Ia | Jun 16, 2016 | 23 y | 5 |
| Chad Joseph Kruse | Dubuque, Ia | Jun 30, 2016 | 27 y | 2 |
| Kyle David Winter | Waterloo, Ia | Oct 11, 2016 | 23 y | 2 |
| Ryan Richard Ruffcorn | Cedar Rapids, Ia | Oct 11, 2016 | 30 y | 2 |
| Mark Alan GeertsmaCertified Financial Planner | Cedar Rapids, Ia | Oct 24, 2016 | 38 y | 3 |
| Aaron Tank | Cedar Rapids, Ia | Apr 10, 2018 | 11 y | 3 |
| Robert Emmett LeeCertified Financial Planner | Dubuque, Ia | Jul 1, 2019 | 18 y | 3 |
| Joseph Constantine BernardiCertified Financial Planner | Dubuque, Ia | Jul 1, 2019 | 42 y | 3 |
| Edward Rissell Munch | Wayne, Pa | Aug 30, 2019 | 11 y | 1 |
| Andrew M Mccloskey | Wayne, Pa | Sep 6, 2019 | 20 y | 3 |
| Carol Anne MayhartChartered Financial Consultant | Wayne, Pa | Sep 6, 2019 | 21 y | 2 |
| Maureen B KozakCertified Financial Planner | Wayne, Pa | Sep 6, 2019 | 26 y | 1 |
| Ryan Scott TomkinsonCertified Financial Planner, Chartered Financial Consultant | Cedar Rapids, Ia | Sep 6, 2019 | 19 y | 1 |
| Edward Scott D'Entremont | Cedar Rapids, Ia | Sep 6, 2019 | 32 y | 2 |
| Tyler David Coiner | Davenport, Ia | Sep 27, 2019 | 13 y | 0 |
Advisor movement
9 left, 7 joined in 12 months
net -2 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 10% of current headcount14 left over 36 months
Left, latest
- Patrick Hardie to Bip Wealth, LLCJul 30, 2026 · RIA to RIA
- Douglas Lyle Stephens to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Jennifer Greer to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Nicholas Bennett to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Van Michael Schaffer to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Brent Herman Hoffman to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Malcom Ong to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Douglas Duane Bennett to LPL Financial LLCApr 27, 2026 · RIA to affiliated broker-dealer or bank
- Lucas Scott Gray to Bfc Planning, Inc.Dec 12, 2025 · RIA to affiliated broker-dealer or bank
- Patrick Arthur Trimp to LPL Financial LLCMar 24, 2025 · RIA to affiliated broker-dealer or bank
- Jack Dillon Trimp to LPL Financial LLCMar 24, 2025 · RIA to affiliated broker-dealer or bank
- Matthew Arthur Tarini to Focused Alpha, LLCOct 22, 2024 · RIA to RIA
- Jon Kenneth Wych to LPL Financial LLCOct 11, 2024 · RIA to affiliated broker-dealer or bank
- Jeffrey R Lashley to Lashley Wealth ManagementNov 8, 2023 · RIA to a newly registered adviser
- Paula Dee Porsch to Cetera Investment Advisers LLCJul 17, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Andrew Michael Bass from Bryn Mawr Trust Advisors, LLCSep 15, 2026 · RIA to RIA
- Michael Patrick Cover from Park Avenue Securities LLCAug 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kristina Lynn Harris from LPL Financial LLCDec 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gary Hugh Costarella from Wells Fargo AdvisorsNov 7, 2025 · Wirehouse to independent RIA
- Edward John Rusnak from Wells Fargo AdvisorsNov 7, 2025 · Wirehouse to independent RIA
- Chad Benjamin Friedman from Wells Fargo AdvisorsOct 3, 2025 · Wirehouse to independent RIA
- Robert Paul Friedman from Wells Fargo AdvisorsOct 2, 2025 · Wirehouse to independent RIA
- Brian Doughney from Strategic Advisers LLCAug 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joena Russell from Twin Peaks Wealth AdvisorsMar 13, 2025 · RIA to RIA
- Roman Savage Leniw from Realta Investment Advisors, IncSep 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Frank M Calabrese from Realta Investment Advisors, IncSep 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- Elizabeth Marie Pagano from Creative Capital Wealth Management GroupAug 20, 2024 · Other
- Ben Sheridan from J.P. Morgan Securities LLCJun 17, 2024 · Wirehouse to independent RIA
- Lucas Scott Gray from United Planners' Financial Services Of America A Limited PartnerFeb 6, 2024 · RIA to RIA
- Christopher Grant Clauson from U.S. Bancorp Investments, Inc.Jan 19, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for LPL Financial LLCApr 27, 2026 · Lawrence, Ks
- 2 left for Cambridge Investment Research Advisors, Inc.Oct 28, 2019 · Iowa City, Ia
- 2 joined from Wells Fargo AdvisorsOct 10, 2025 · Berwyn, Pa
- 2 joined from Realta Investment Advisors, IncSep 4, 2024 · Wilmington, De
- 2 joined from Wells Fargo AdvisorsJul 25, 2023 · Berwyn, Pa
- 3 joined from Wells Fargo AdvisorsDec 20, 2022 · Knoxville, Tn
- 3 joined from Wells Fargo AdvisorsFeb 14, 2022 · Memphis, Tn
- 2 joined from Wells Fargo AdvisorsAug 23, 2021 · Idaho Falls, Id
- 2 joined from Summit Financial Group IncFeb 5, 2021 · Silverdale, Wa
- 3 joined from Wells Fargo AdvisorsSep 17, 2020 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Scott Bennett · Ceo - Cfocontrolsince 01/1998 · owns less than 5%
- Stephen Michael Cairney · President Officercontrolsince 03/2025 · owns less than 5%
- Tracey Lynn Krousie · Chief Operations Officercontrolsince 10/2025 · owns less than 5%
- Vicki Lin Reighard-Kean · Chief Compliance Officercontrolsince 08/2025 · owns less than 5%
- Richard Scott Bennett · Shareholdercontrolsince 01/2014 · owns 75% or more of Nfgi Holding Corporation
- Erik John Bjorseth · Chief Growth Officersince 01/2014 · owns less than 5%
- Brenda Marie Bush · Chief Compliance Officersince 06/2021 · owns less than 5%
Entity owners
- Nfgi Holding Corporation · Holding Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- Eugene Wehrheimreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia · principal | 63 | 10 | 3 | ||
| Wayne, Pa | 9 | 1 | 0 | ||
| Dubuque, Ia | 7 | 0 | 0 | ||
| Berwyn, Pa | 5 | 3 | 0 | ||
| Memphis, Tn | 4 | 0 | 0 | ||
| Littleton, Co | 4 | 1 | 0 | ||
| Knoxville, Tn | 3 | 0 | 0 | ||
| Davenport, Ia | 3 | 0 | 0 | ||
| Independence, Ia | 3 | 0 | 0 | ||
| Iowa City, Ia | 3 | 0 | 0 | ||
| Scottsdale, Az | 3 | 0 | 0 | ||
| Phoenix, Az | 2 | 0 | 0 | ||
| Seaside, Or | 2 | 1 | 0 | ||
| Silverdale, Wa | 2 | 0 | 0 | ||
| Fairfield, Nj | 2 | 0 | 0 | ||
| Hiawatha, Ia | 2 | 0 | 0 | ||
| Arlington, Tx | 0 | 0 | 0 | ||
| Idaho Falls, Id | 0 | 0 | 0 | ||
| Sarasota, Fl | 0 | 0 | 0 | ||
| Baldwin City, Ks | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Lawrence, KS6 employees
- Dubuque, IA5 employees
- Cedar Rapids, IA5 employees
- Wayne, PA5 employees
- Memphis, TN4 employees
- Davenport, IA3 employees
- Littleton, CO3 employees
- Berwyn, PA2 employees
- Iowa City, IA2 employees
- Phoenix, AZ2 employees
- Scottsdale, AZ2 employees
- Silverdale, WA2 employees
- Idaho Falls, ID2 employees
- Knoxville, TN2 employees
- Cedar Rapids, IA2 employees
- Arlington, TX1 employees
- Nashville, TN1 employees
- Phoenix, AZ1 employees
- Ames, IA1 employees
- Coralville, IA1 employees
- Seaside, OR1 employees
- Gresham, OR1 employees
- , 1 employees
- Independence, IA1 employees
- Cedar Rapids, IA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 18, 2026REIGHARD-KEAN, VICKI LIN (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2021-06-25 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 18, 2026KROUSIE, TRACEY LYNN (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2021-06-25 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 18, 2026HNW share of RAUM moved from 52.0% to 71.0% between the annual amendments of 2025-03-31 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 9,822 to 10,535Oct 10, 2025 to Mar 18, 2026
- Advisory employees · 87 to 81Oct 10, 2025 to Mar 18, 2026
- BD registered reps · 85 to 79Oct 10, 2025 to Mar 18, 2026
- Charity clients · 17 to 16Oct 10, 2025 to Mar 18, 2026
- Corporate clients · 13 to 14Oct 10, 2025 to Mar 18, 2026
- HNW clients · 1,032 to 1,625Oct 10, 2025 to Mar 18, 2026
- Individual clients · 4,324 to 3,900Oct 10, 2025 to Mar 18, 2026
- Pension plan clients · 15 to 14Oct 10, 2025 to Mar 18, 2026
- Assets in custody · $3.8B to $4.7BOct 10, 2025 to Mar 18, 2026
- Employees · 87 to 94Oct 10, 2025 to Mar 18, 2026
- Financial planning clients · 1-10 to 0Oct 10, 2025 to Mar 18, 2026
- State-registered IARs · 87 to 81Oct 10, 2025 to Mar 18, 2026
- Other offices · 35 to 39Oct 10, 2025 to Mar 18, 2026
- Discretionary RAUM · $2.9B to $3.7BOct 10, 2025 to Mar 18, 2026
- HNW RAUM · $2.0B to $3.4BOct 10, 2025 to Mar 18, 2026
- Individual RAUM · $1.7B to $1.2BOct 10, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $1.0B to $1.1BOct 10, 2025 to Mar 18, 2026
- Pension RAUM · $46.5M to $32.8MOct 10, 2025 to Mar 18, 2026
- RAUM · $3.9B to $4.8BOct 10, 2025 to Mar 18, 2026
- Wrap assets (manager) · $1.3B to $1.8BOct 10, 2025 to Mar 18, 2026
- Accounts · 9,857 to 9,822Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 83 to 87Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 81 to 85Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 21 to 13Mar 28, 2024 to Mar 31, 2025
- HNW clients · 1,197 to 1,032Mar 28, 2024 to Mar 31, 2025
- Individual clients · 4,130 to 4,324Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 16 to 15Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $3.3B to $3.8BMar 28, 2024 to Mar 31, 2025
- Employees · 83 to 87Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 83 to 87Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.4B to $2.9BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $2.0B to $2.0BMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $1.2B to $1.7BMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.0B to $1.0BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $48.6M to $46.5MMar 28, 2024 to Mar 31, 2025
- RAUM · $3.4B to $3.9BMar 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $1.1B to $1.3BMar 28, 2024 to Mar 31, 2025
- Accounts · 9,788 to 9,857Sep 6, 2023 to Mar 28, 2024
- Advisory employees · 85 to 83Sep 6, 2023 to Mar 28, 2024
Signals
33 dated events
- Andrew Michael Bass registered as an investment adviser representative at Nations Financial Group, Inc.Sep 15, 2026 · Advisor registered · fact
- Patrick Hardie left Nations Financial Group, Inc. for Bip Wealth, Llc (registered 2026-07-29)Jul 30, 2026 · Advisor changed firm · fact
- Brent Herman Hoffman left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- Douglas Lyle Stephens left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- Jennifer Greer left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- Nicholas Bennett left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- Van Michael Schaffer left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- Malcom Ong left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-22)Apr 27, 2026 · Advisor changed firm · fact
- Douglas Duane Bennett left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2026-04-21)Apr 27, 2026 · Advisor changed firm · fact
- 6 advisors left Nations Financial Group, Inc. (Lawrence, KS) for LPL Financial LLC on the same dayApr 27, 2026 · Team lift-out · derived
- Lucas Scott Gray left Nations Financial Group, Inc. for Bfc Planning, Inc. (registered 2025-12-16)Dec 12, 2025 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Berwyn, PA) for Nations Financial Group, Inc. within 5 daysOct 10, 2025 · Team lift-out · derived
- Jack Dillon Trimp left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2025-03-24)Mar 24, 2025 · Advisor changed firm · fact
- Patrick Arthur Trimp left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2025-03-24)Mar 24, 2025 · Advisor changed firm · fact
- Matthew Arthur Tarini left Nations Financial Group, Inc. for Focused Alpha, Llc (registered 2024-10-30)Oct 22, 2024 · Advisor changed firm · fact
- Jon Kenneth Wych left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2024-10-14)Oct 11, 2024 · Advisor changed firm · fact
- 2 advisors left Realta Investment Advisors, Inc (Wilmington, DE) for Nations Financial Group, Inc. a day apartSep 4, 2024 · Team lift-out · derived
- Nations Financial Group, Inc. reported 35 offices beyond its principal office, down from 40 (2023-09-06 to 2024-03-28)Mar 28, 2024 · Office count change · derived
- Jeffrey R Lashley left Nations Financial Group, Inc. for Lashley Wealth Management (registered 2023-10-17)Nov 8, 2023 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Berwyn, PA) for Nations Financial Group, Inc. on the same dayJul 25, 2023 · Team lift-out · derived
- Paula Dee Porsch left Nations Financial Group, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)Jul 17, 2023 · Advisor changed firm · fact
- Cassidy J Moulton left Nations Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2023-06-20)Jun 22, 2023 · Advisor changed firm · fact
- Nicholas James Daleiden left Nations Financial Group, Inc. for Daleiden Wealth Advisors (registered 2023-02-02)Dec 31, 2022 · Advisor changed firm · fact
- 3 advisors left Wells Fargo Advisors (Knoxville, TN) for Nations Financial Group, Inc. on the same dayDec 20, 2022 · Team lift-out · derived
- Robert A. Schutzius left Nations Financial Group, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-07)Aug 16, 2022 · Advisor changed firm · fact
- Anthony Vito Berardi left Nations Financial Group, Inc. for Ameriprise Financial Services, Llc (registered 2022-05-10)Apr 12, 2022 · Advisor changed firm · fact
- Nations Financial Group, Inc. reported RAUM $2.9B, up 50% from $2.0B (2022-03-03 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Matthew Donald Shannahan left Nations Financial Group, Inc. for Lpl Financial Llc (registered 2022-03-01)Mar 2, 2022 · Advisor changed firm · fact
- 3 advisors left Wells Fargo Advisors (Memphis, TN) for Nations Financial Group, Inc. on the same dayFeb 14, 2022 · Team lift-out · derived
- Nations Financial Group, Inc. reported 77 state-registered advisory representatives, up from 64 (2021-03-22 to 2021-03-30)Mar 30, 2021 · Advisor headcount change · derived
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
- Business phone
- 319-393-9541reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-351-2471reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/NATIONS-FINANCIAL-GROUP-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NATIONSFG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 319-393-9541reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- nationsfg.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $53.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026