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
Ausdal Financial Partners, Inc.
Latest filing Apr 13, 2026
First filing on the tape Dec 22, 2011 · 54 filings
SEC status approved since Jun 5, 2008
RAUM
$3.7B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
97%
$3.6B individuals and HNW
Advisors
188
registered through the firm on IAPD
RAUM per advisor
$19.9M
derived; firm RAUM over IAPD count
Employees
306
168 advisory (5.B.1)
Offices
111
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$3.7B as of Apr 13, 2026
Mar 28, 2012$386M then
HNW client RAUM$2.1B as of Apr 13, 2026
Apr 30, 2018$345M then
State-registered IARs (5.B.3)180 as of Apr 13, 2026
Mar 28, 20120 then
Employees (5.A)306 as of Apr 13, 2026
Feb 26, 2013247 then
Private funds: no history
RAUM +75% over the last fiscal year+31% a year over threeIARs 152 to 180offices 24 to 111
Practice profile
derived from the filing of Apr 13, 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
- $19.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $515,546derivedHNW RAUM over HNW clients
- Average account
- $225,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived112 offices incl. principal (1.F.5)
- RAUM growth, one year
- +75%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +59%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $478MreportedItem 5.I
- Custody
- $1.0B, 3,480 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B55%
- Individuals$1.6B42%
- Corporations and businesses$82.7M2.2%
- Pension and profit-sharing plans$15.3M0.4%
- Charitable organizations$5.1M0.1%
- Individual clients
- 12,432reported
- HNW clients
- 4,004reported
- Pension plan clients
- 21reported
- Charitable clients
- 18reported
- Accounts
- 16,572reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $10.3M sponsored, $0 managedreported
- Custody of client assets
- $1.0B for 3,480 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=283.0derived
Advisors registered through the firm
184 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Phillip Sheridan Hugart | Port Byron, Il | Jan 27, 2003 | 40 y | 0 |
| John Robert Dewitt | Moline, Il | Feb 16, 2006 | 39 y | 1 |
| Jeffrey William Peters | Downers Grove, Il | Sep 4, 2007 | 31 y | 3 |
| Michael Patrick Remedi | Downers Grove, Il | Jun 16, 2008 | 33 y | 1 |
| Thomas Anthony Durment | Downers Grove, Il | Dec 4, 2008 | 36 y | 2 |
| Daniel John SmyczynskiCertified Financial Planner | Arlington Heights, Il | Jan 27, 2009 | 34 y | 1 |
| Michael Lawrence HoyeCertified Financial Planner | Downers Grove, Il | Feb 23, 2009 | 28 y | 1 |
| Thomas Dale Herr | Downers Grove, Il | Mar 11, 2009 | 40 y | 1 |
| Joseph G Alagna | Arlington Heights, Il | Mar 17, 2009 | 34 y | 1 |
| Kevin Joseph Newman | Downers Grove, Il | Jun 2, 2009 | 42 y | 1 |
| Rocco Santorsola | Elk Grove Village, Il | Jun 15, 2009 | 33 y | 1 |
| Daniel Ernest Davis | Louisville, Ky | Jul 29, 2009 | 35 y | 0 |
| Craig Allyn WengerCertified Financial Planner | Chicago, Il | Aug 18, 2009 | 26 y | 1 |
| David Lee FrohlichsteinCertified Financial Planner | St Charles, Il | Aug 24, 2009 | 50 y | 2 |
| Roger Owen AndersonCertified Financial Planner | Downers Grove, Il | Aug 25, 2009 | 35 y | 1 |
| Ted C Berman | Downers Grove, Il | Aug 25, 2009 | 39 y | 2 |
| Thea Elizabeth Reynolds | Naperville, Il | Aug 25, 2009 | 25 y | 2 |
| Patrick Daniel Altmiller | Daytona Beach, Fl | Aug 26, 2009 | 35 y | 1 |
| Terrance Robert GaertnerCertified Financial Planner | Park Ridge, Il | Sep 4, 2009 | 40 y | 3 |
| Bryan James MinnerPersonal Financial Specialist | Downers Grove, Il | Sep 4, 2009 | 25 y | 1 |
| Peter KneipChartered Financial Consultant | Downers Grove, Il | Sep 10, 2009 | 40 y | 2 |
| Jack John Causa | Downers Grove, Il | Sep 10, 2009 | 45 y | 1 |
| Arthur John Pedgrift | Aurora, Il | Sep 25, 2009 | 34 y | 2 |
| Michele Conti Strauts | Downers Grove, Il | May 24, 2010 | 23 y | 2 |
| Robert Gerard Devita | Downers Grove, Il | Jul 1, 2010 | 37 y | 4 |
| Robert Joseph EngelCertified Financial Planner | Downers Grove, Il | Jul 12, 2010 | 16 y | 1 |
| John Miles LancasterCertified Financial Planner, Chartered Financial Consultant | Glen Ellyn, Il | Jul 16, 2010 | 41 y | 0 |
| Jeffrey Alan Zimmer | Delaware, Oh | Oct 6, 2010 | 45 y | 2 |
| Mark Gregory Stasik | Downers Grove, Il | Nov 19, 2010 | 21 y | 5 |
| Susan Michelle Alexander | Downers Grove, Il | Feb 11, 2011 | 22 y | 3 |
| Steven Kenneth NivensCertified Financial Planner | Arlington Heights, Il | Feb 11, 2011 | 35 y | 3 |
| Kirk Jay Daniels | Downers Grove, Il | Feb 15, 2011 | 34 y | 5 |
| Christopher Louis Patras | Hinsdale, Il | Mar 24, 2011 | 34 y | 1 |
| Daniel Matthew LundquistCertified Financial Planner | Downers Grove, Il | Apr 1, 2011 | 30 y | 5 |
| John Anthony WenstrupChartered Financial Consultant | Milford, Oh | Apr 4, 2011 | 35 y | 2 |
| Christopher William Neston | White Bear Lake, Mn | Sep 1, 2011 | 30 y | 1 |
| Mary Susan Hall | Downers Grove, Il | Sep 7, 2011 | 39 y | 1 |
| John Alexander JanisCertified Financial Planner, Personal Financial Specialist | Downers Grove, Il | Nov 28, 2011 | 35 y | 1 |
| Andrew John MccauslandCertified Financial Planner, Chartered Financial Consultant | Downers Grove, Il | Feb 16, 2012 | 30 y | 3 |
| Warren Waymeth Wilson | Davenport, Ia | Feb 22, 2012 | 44 y | 0 |
Advisor movement
3 left, 11 joined in 12 months
net +8 in 12 months3 left in 90 days5 joined in 90 daysdeparture rate 1.6% of current headcount10 left over 36 months
Left, latest
- Eric Schneider to D.A. Davidson & Co.Aug 5, 2026 · RIA to RIA
- Brad Stuart to LPL Financial LLCJul 20, 2026 · RIA to affiliated broker-dealer or bank
- Benjamin Nolan Fanderclai to LPL Financial LLCJul 20, 2026 · RIA to affiliated broker-dealer or bank
- William Anthony Gohs to Inspire Advisors, LLCAug 19, 2025 · RIA to RIA
- Richard Victor Gerrity to Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 15, 2024 · RIA to wirehouse
- Jeffrey Paul Benda to Cetera Investment Advisers LLCJan 23, 2024 · RIA to affiliated broker-dealer or bank
- Leonard Thomas Digate to LPL Financial LLCDec 7, 2023 · RIA to affiliated broker-dealer or bank
- Robert Burns Ausdal to Cpr Investments IncDec 6, 2023 · RIA to RIA
- Nicole M Hutcheson to J.P. Morgan Securities LLCOct 13, 2023 · RIA to wirehouse
- Nancy Marie Wilson to Morgan StanleyOct 2, 2023 · RIA to wirehouse
- Bryan J Larrison to Trustmont Advisory Group, Inc.Aug 1, 2023 · RIA to affiliated broker-dealer or bank
- Kraig Richard Mickelsen to Wheaton Wealth Partners, LLCJul 3, 2023 · Other
- Monica Moose to Arete Wealth Advisors, LLCJul 3, 2023 · RIA to affiliated broker-dealer or bank
- Robert Matthew Sweas to Arete Wealth Advisors, LLCJul 3, 2023 · RIA to affiliated broker-dealer or bank
- Heather Polly Johnson to Cibc Private Wealth Advisors, Inc.Jul 29, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Alexis Trotter from Midwestern Securities Trading Co.,LLCSep 15, 2026 · RIA to RIA
- Donald Leonhard Hartmann from Cambridge Investment Research Advisors, Inc.Jul 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- Vinton Dixon Hartmann from Cambridge Investment Research Advisors, Inc.Jul 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kenneth J Mitchell from MML Investors Services, LLCJul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Carl Kirchner from Osaic Wealth, Inc.Jul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Rick David Martinez from Quincy Wells Advisors, LLCJun 16, 2026 · RIA to RIA
- Matthew Berry Bowen from Dimensional Fund Advisors LPMar 19, 2026 · Other
- Paul Douglas Mclemore from Intervest International, Inc.Mar 3, 2026 · RIA to RIA
- William Paul Boscow from Pks Advisory Services, LLCJan 26, 2026 · RIA to RIA
- Christina Marie Doone from Osaic Wealth, Inc.Oct 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- Monica Moose from Arete Wealth Advisors, LLCOct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Kolton Rominski from Larson Financial Group, LLCSep 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Derrick Allen Brauner from Moloney Securities Asset Management LLCAug 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- Adam James Maher from Moloney Securities Asset Management LLCAug 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Mark David House from Moloney Securities Asset Management LLCAug 7, 2025 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Moloney Securities Asset Management LLCAug 13, 2025 · Osage Beach, Mo
- 4 joined from Osaic Wealth, Inc.Jun 24, 2025 · Scottsdale, Az
- 4 joined from Osaic Wealth, Inc.Feb 20, 2025 · Canfield, Oh
- 8 joined from Osaic Advisory Services, LLCDec 5, 2024 · Atlanta, Ga
- 2 joined from Osaic Wealth, Inc.Dec 5, 2024 · Boynton Beach, Fl
- 10 joined from Intervest International, Inc.Nov 14, 2024 · Colorado Springs, Co · Firm absorbed
- 2 joined from Cornerstone Securities LLCOct 6, 2015 · Overland Park, Ks
- 2 joined from Cambridge Investment Research Advisors, Inc.Jun 4, 2015 · East Peoria, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Bryan Hicks · Director, Shareholder,Vice President, Corporate Secretarycontrolsince 07/2012 · owns 10% to 25%
- David Bruce Roberts · Chairman, Director, Shareholder,Vice Presidentcontrolsince 07/2012 · owns 10% to 25%
- Stephen Barra Sawtelle · Shareholdercontrolsince 11/2010 · owns less than 5%
- James Jefferson Simpson · Shareholder, Ceo, Board Member President, Board Member Shareholder, Board Membercontrolsince 09/2023 · owns less than 5%
- Nathan David Westcomb · Chief Compliance Officercontrolsince 05/2016 · owns less than 5%
- Timothy Scott Beldner · Shareholder, Directorsince 12/2022 · owns less than 5%
- Larry Wayne Johnson · Shareholder, Trustee, Directorsince 02/2023 · owns less than 5%
- Ivana M Shumberg · Finopsince 07/2023 · owns less than 5%
- Jane Eleanor Sykes Wilson · Shareholder, Trusteesince 02/2023 · owns less than 5%
- Matthew Roy Wilson · Shareholder, Trusteesince 02/2023 · owns less than 5%
- Jessica Ann Witter · Shareholdersince 01/2011 · owns 5% to 10%
- Timothy Scott Beldner · Director, Officer, Ownersince 12/2022 · owns 75% or more of Mint Hill Holdings Co
- Larry Wayne Johnson · Trusteesince 02/2023 · owns 75% or more of Larry Johnson Trust
- Jane Eleanor Sykes Wilson · Trusteesince 02/2023 · owns 50% to 75% of Wilson Family Trust
- Matthew Roy Wilson · Trusteesince 02/2023 · owns 50% to 75% of Wilson Family Trust
Entity owners
- Afp Holdco, LLC · Shareholderdirect · owns 75% or more
- Larry W. Johnson Trust · Shareholderdirect · owns 10% to 25%
- Mint Hill Holdings Co · Shareholderdirect · owns 5% to 10%
- Wilson Family Trust · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Barry Bellottinsurancen
- Bolder Advisors, LLCinvestment adviserpooled vehicle sponsorn
- Bryan Minnerinsurancen
- Joan K. Johnsoninsurancen
- John Janisinsurancen
- M.Brown Financial Advisorsinvestment advisern
- Mint Hill Capital Holding Company, LLCpooled vehicle sponsorn
- Roger Andersoninsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Downers Grove, Il | 128 | 12 | 2 | ||
| Colorado Springs, Co | 29 | 4 | 0 | ||
| Canfield, Oh | 18 | 3 | 0 | ||
| Arlington Heights, Il | 11 | 0 | 0 | ||
| Naperville, Il | 7 | 1 | 0 | ||
| Davenport, Ia · principal | 6 | 1 | 0 | ||
| Boca Raton, Fl | 6 | 2 | 0 | ||
| Schaumburg, Il | 6 | 0 | 0 | ||
| East Peoria, Il | 4 | 2 | 0 | ||
| Aurora, Il | 4 | 1 | 0 | ||
| Osage Beach, Mo | 4 | 1 | 0 | ||
| Chicago, Il | 4 | 0 | 0 | ||
| Indianapolis, In | 4 | 0 | 0 | ||
| Mint Hill, Nc | 3 | 0 | 0 | ||
| Joliet, Il | 3 | 1 | 0 | ||
| Kokomo, In | 3 | 0 | 0 | ||
| Oak Brook, Il | 3 | 0 | 0 | ||
| White Bear Lake, Mn | 3 | 0 | 0 | ||
| Houston, Tx | 2 | 2 | 0 | ||
| Western Springs, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Downers Grove, IL7 employees
- St. Charles, IL4 employees
- Naperville, IL4 employees
- Schaumburg, IL4 employees
- North Oaks, MN3 employees
- Batavia, IL3 employees
- Dallas, TX3 employees
- Ft. Wayne, IN3 employees
- Kokomo, IN3 employees
- Indianapolis, IN3 employees
- East Peoria, IL3 employees
- Kokomo, IN3 employees
- Maple Grove, MN2 employees
- Munster, IN2 employees
- Omaha, NE2 employees
- Clinton, IA2 employees
- Indianapolis, IN2 employees
- Palatine, IL2 employees
- Bettendorf, IA2 employees
- Jeffersonville, IN2 employees
- Mchenry, IL2 employees
- Oak Brook, IL2 employees
- Elkhorn, NE2 employees
- Joliet, IL2 employees
- Mint Hill, NC2 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 13, 2026accounts (Item 5.F.2.f) moved from 10,402.0 to 16,572.0 (+59.0%) between the annual amendments of 2025-04-24 and 2026-04-13; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
- client count surgeChange between filings · filing Apr 13, 2026individual and HNW clients (Item 5.D) moved from 10,327.0 to 16,436.0 (+59.0%) between the annual amendments of 2025-04-24 and 2026-04-13; the peer median change was +5.0% (1132 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 96% percentile
- control person changedChange between filings · filing Apr 13, 2026SAWTELLE, STEPHEN BARRA (SHAREHOLDER) left Schedule A between the filings of 2023-08-29 and 2026-04-13peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 13, 2026HICKS, JOHN BRYAN (DIRECTOR, SHAREHOLDER,VICE PRESIDENT, CORPORATE SECRETARY) left Schedule A between the filings of 2023-08-29 and 2026-04-13peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 13, 2026ROBERTS, DAVID BRUCE (CHAIRMAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT) left Schedule A between the filings of 2023-08-29 and 2026-04-13peers: independent wealth managers, $1B to $5B (1,360)
- office count surgeChange between filings · filing Apr 13, 2026offices other than the principal office (Item 1.F.5) moved from 24.0 to 111.0 (+363.0%) between the annual amendments of 2025-04-24 and 2026-04-13; the peer median change was 0.0% (379 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 100% percentile
- RAUM up 50 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $2,134,630,563 to $3,733,313,940 (+75.0%) between the annual amendments of 2025-04-24 and 2026-04-13; the peer median change was +17.0% (1297 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 10,402 to 16,572Sep 4, 2025 to Mar 31, 2026
- Advisory employees · 152 to 168Sep 4, 2025 to Mar 31, 2026
- BD registered reps · 250 to 283Sep 4, 2025 to Mar 31, 2026
- Charity clients · 13 to 18Sep 4, 2025 to Mar 31, 2026
- Corporate clients · 46 to 97Sep 4, 2025 to Mar 31, 2026
- HNW clients · 1,166 to 4,004Sep 4, 2025 to Mar 31, 2026
- Individual clients · 9,161 to 12,432Sep 4, 2025 to Mar 31, 2026
- Pension plan clients · 16 to 21Sep 4, 2025 to Mar 31, 2026
- Assets in custody · $665M to $1.0BSep 4, 2025 to Mar 31, 2026
- Employees · 405 to 306Sep 4, 2025 to Mar 31, 2026
- Insurance-licensed employees · 7 to 54Sep 4, 2025 to Mar 31, 2026
- State-registered IARs · 152 to 180Sep 4, 2025 to Mar 31, 2026
- Other offices · 24 to 111Sep 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $3.5BSep 4, 2025 to Mar 31, 2026
- HNW RAUM · $889M to $2.1BSep 4, 2025 to Mar 31, 2026
- Individual RAUM · $1.2B to $1.6BSep 4, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $131M to $250MSep 4, 2025 to Mar 31, 2026
- Pension RAUM · $13.8M to $15.3MSep 4, 2025 to Mar 31, 2026
- RAUM · $2.1B to $3.7BSep 4, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $0 to $10.3MSep 4, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250Apr 24, 2025 to Jul 25, 2025
- State-registered IARs · 110 to 152Sep 9, 2024 to Apr 24, 2025
- Other offices · 88 to 24Sep 9, 2024 to Apr 24, 2025
- Discretionary RAUM · $1.4B to $2.0BSep 9, 2024 to Apr 24, 2025
- HNW RAUM · $803M to $889MSep 9, 2024 to Apr 24, 2025
- Individual RAUM · $692M to $1.2BSep 9, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $112M to $131MSep 9, 2024 to Apr 24, 2025
- Pension RAUM · $8.3M to $13.8MSep 9, 2024 to Apr 24, 2025
- RAUM · $1.5B to $2.1BSep 9, 2024 to Apr 24, 2025
- Accounts · 8,079 to 10,402Sep 9, 2024 to Apr 24, 2025
- Advisory employees · 110 to 152Sep 9, 2024 to Apr 24, 2025
- BD registered reps · 199 to 250Sep 9, 2024 to Apr 24, 2025
- Charity clients · 10 to 13Sep 9, 2024 to Apr 24, 2025
- Corporate clients · 36 to 46Sep 9, 2024 to Apr 24, 2025
- HNW clients · 1,746 to 1,166Sep 9, 2024 to Apr 24, 2025
- Individual clients · 6,276 to 9,161Sep 9, 2024 to Apr 24, 2025
- Pension plan clients · 11 to 16Sep 9, 2024 to Apr 24, 2025
- Assets in custody · $519M to $665MSep 9, 2024 to Apr 24, 2025
- Employees · 317 to 405Sep 9, 2024 to Apr 24, 2025
- Insurance-licensed employees · 57 to 7Sep 9, 2024 to Apr 24, 2025
Signals
42 dated events
- Alexis Trotter registered as an investment adviser representative at Ausdal Financial Partners, Inc.Sep 15, 2026 · Advisor registered · fact
- Eric Schneider left Ausdal Financial Partners, Inc. for D.A. Davidson & Co. (registered 2026-08-05)Aug 5, 2026 · Advisor changed firm · fact
- Benjamin Nolan Fanderclai left Ausdal Financial Partners, Inc. for Lpl Financial Llc (registered 2026-07-20)Jul 20, 2026 · Advisor changed firm · fact
- Brad Stuart left Ausdal Financial Partners, Inc. for Lpl Financial Llc (registered 2026-07-20)Jul 20, 2026 · Advisor changed firm · fact
- Ausdal Financial Partners, Inc. reported RAUM $3.7B, up 75% from $2.1B (2025-09-04 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Ausdal Financial Partners, Inc. reported 111 offices beyond its principal office, up from 24 (2025-09-04 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- William Anthony Gohs left Ausdal Financial Partners, Inc. for Inspire Advisors, Llc (registered 2025-08-12)Aug 19, 2025 · Advisor changed firm · fact
- 3 advisors left Moloney Securities Asset Management LLC (Osage Beach, MO) for Ausdal Financial Partners, Inc. on the same dayAug 13, 2025 · Team lift-out · derived
- 2 advisors left Osaic Wealth, Inc. (Scottsdale, AZ) for Ausdal Financial Partners, Inc. within 6 daysJun 24, 2025 · Team lift-out · derived
- Ausdal Financial Partners, Inc. reported RAUM $2.1B, up 39% from $1.5B (2024-09-09 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- Ausdal Financial Partners, Inc. reported 152 state-registered advisory representatives, up from 110 (2024-09-09 to 2025-04-24)Apr 24, 2025 · Advisor headcount change · derived
- Ausdal Financial Partners, Inc. reported 24 offices beyond its principal office, down from 88 (2024-09-09 to 2025-04-24)Apr 24, 2025 · Office count change · derived
- 2 advisors left Osaic Wealth, Inc. (Canfield, OH) for Ausdal Financial Partners, Inc. within 5 daysFeb 20, 2025 · Team lift-out · derived
- 2 advisors left Osaic Wealth, Inc. (Boynton Beach, FL) for Ausdal Financial Partners, Inc. within 10 daysDec 5, 2024 · Team lift-out · derived
- 8 advisors left Osaic Advisory Services, LLC (Atlanta, GA) for Ausdal Financial Partners, Inc. within 12 daysDec 5, 2024 · Team lift-out · derived
- Intervest International, Inc.'s advisors moved to Ausdal Financial Partners, Inc. (Colorado Springs, CO): 8 of 15 registered, a day apartNov 14, 2024 · Firm absorbed (people side) · derived
- Richard Victor Gerrity left Ausdal Financial Partners, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-05-07)Apr 15, 2024 · Advisor changed firm · fact
- Ausdal Financial Partners, Inc. reported 86 offices beyond its principal office, down from 125 (2023-08-29 to 2024-03-26)Mar 26, 2024 · Office count change · derived
- Jeffrey Paul Benda left Ausdal Financial Partners, Inc. for Cetera Investment Advisers Llc (registered 2024-01-31)Jan 23, 2024 · Advisor changed firm · fact
- Leonard Thomas Digate left Ausdal Financial Partners, Inc. for Lpl Financial Llc (registered 2025-06-05)Dec 7, 2023 · Advisor changed firm · fact
- Robert Burns Ausdal left Ausdal Financial Partners, Inc. for Cpr Investments Inc (registered 2023-12-02)Dec 6, 2023 · Advisor changed firm · fact
- Nicole M Hutcheson left Ausdal Financial Partners, Inc. for J.P. Morgan Securities Llc (registered 2023-10-18)Oct 13, 2023 · Advisor changed firm · fact
- Nancy Marie Wilson left Ausdal Financial Partners, Inc. for Morgan Stanley (registered 2023-10-02)Oct 2, 2023 · Advisor changed firm · fact
- Robert Burns Jr Ausdal (Chief Financial Officer,Financial Operations Principal) no longer on Schedule A of Ausdal Financial Partners, Inc. (listed 2023-04-25, absent 2023-08-29)Aug 29, 2023 · Control person left · inference
- Bryan J Larrison left Ausdal Financial Partners, Inc. for Trustmont Advisory Group, Inc. (registered 2024-04-04)Aug 1, 2023 · Advisor changed firm · fact
- Kraig Richard Mickelsen left Ausdal Financial Partners, Inc. for Wheaton Wealth Partners, Llc (registered 2010-05-26)Jul 3, 2023 · Advisor changed firm · fact
- Monica Moose left Ausdal Financial Partners, Inc. for Arete Wealth Advisors, Llc (registered 2024-01-05)Jul 3, 2023 · Advisor changed firm · fact
- Robert Matthew Sweas left Ausdal Financial Partners, Inc. for Arete Wealth Advisors, Llc (registered 2023-06-29)Jul 3, 2023 · Advisor changed firm · fact
- Dean Gordon Oakes (Unitholder, Manager) no longer on Schedule A of Ausdal Financial Partners, Inc. (listed 2022-12-22, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Michael Edward Hodge (Unitholder, Manager) no longer on Schedule A of Ausdal Financial Partners, Inc. (listed 2022-12-22, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Ausdal Financial Partners, Inc. · Private Equityshared crd · intermediary
- Ausdal Financial Partners, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business email
- info@gmbcpa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 330-726-9119reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 330-856-4732reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 440-992-8091reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ausdal-financial-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- gmbcpa.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 563-326-2064reportedpublic record, Form ADV, Apr 13, 2026
- Contact form
- gmbcpa.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gmbcpa.com/about-us/teamreportedpublished by the firm, firm site, Sep 15, 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
- $19.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Ausdal Financial Partners, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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