Avantax Planning Partners, Inc.
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 106237
· SEC file 801-50939
· Dubuque, IA
· avantax.com
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ADV data as of Jun 18, 2026
- Regulatory AUM
- $7.6B
- Discretionary
- $7.6B
- Clients
- 8,370
- Avg AUM / client
- $904K
- Accounts
- 13,797
- Employees
- 261
AUM over time
$1.0B
$7.6B
Dec 2011
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,299 | $1.6B | 21.4% |
| High net worth individuals | 1,216 | $3.6B | 47.3% |
| Pension and profit sharing plans | 591 | $2.2B | 28.6% |
| Charitable organizations | 153 | $49.6M | 0.66% |
| Corporations and other businesses | 111 | $153M | 2.02% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Black Hills Corporation 401(k) Retirement Savings Plan Black Hills Corporation | 2024 | |
| Grand Traditions 401(k) Plan Grand Industrial, Llc | 2024 | |
| Nfc 401(k) Plan Northwest Financial Corp | 2024 | |
| Hydromax Usa, L.L.C. 401(k) Profit Sharing Plan Hydromax Usa, L.L.C. | 2024 | |
| Pinnacle Fit Clubs, Llc Retirement Plan Pinnacle Fit Clubs, Llc | 2024 |
People (270)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rosalez, Louie, Alan | Sr. Vice President | Feb 2012 (15y) | Less than 5% | |
| Andrew David Watts | President | CFP | Mar 2021 (5y) | Less than 5% |
| Allen, Jason, Jeffrey | Vice President | Apr 2022 (4y) | Less than 5% | |
| Chaffin, Gary, Lynn | Tax Officer | Jan 2024 (3y) | Less than 5% | |
| Gok, Lisa, Anne | Co Secretary | Jan 2024 (3y) | Less than 5% | |
| Gooley, Thomas, Andrew | Director | Jan 2024 (3y) | Less than 5% | |
| Joseph Daniel Neary | Vice President | Jan 2024 (3y) | Less than 5% | |
| Lee, Winnie, Ai Ling | Asst. Secretary | Jan 2024 (3y) | Less than 5% | |
| Shores, Allan, Keith | Co Treasurer | Jan 2024 (3y) | Less than 5% | |
| Van Havermaat, David, James | Asst. Secretary | Jan 2024 (3y) | Less than 5% | |
| Matthew Gregory Bregozzo | Chief Compliance Officer | Apr 2024 (2y) | Less than 5% | |
| Fries, Matthew, Neil Kalani | Vice President | Oct 2024 (2y) | Less than 5% | |
| Mackay, Todd, Christopher | Vice President | Oct 2024 (2y) | Less than 5% | |
| Michael John Darr | Registered representative | Personal Financial Specialist | Jan 1999 (28y) | |
| Robert Michael Mccoy | Registered representative | Jan 1999 (28y) | ||
| Wendy Lynn Sims | Registered representative | Personal Financial Specialist | Jan 1999 (28y) | |
| Frank William Diebold | Registered representative | May 1999 (27y) | ||
| Linda Jeanne Diebold | Registered representative | May 1999 (27y) | ||
| Michael John Gasperi | Registered representative | Jun 1999 (27y) | ||
| Michael Dean Vermeer | Registered representative | Nov 1999 (27y) | ||
| Robert Dana Buckley | Registered representative | Dec 1999 (27y) | ||
| Alan Emerson Keltner | Registered representative | Dec 1999 (27y) | ||
| Thomas Leslie Gilbert | Registered representative | Jan 2000 (27y) | ||
| Kevin Ray Eggebraaten | Registered representative | Jan 2001 (26y) | ||
| Casey Craven Peterson | Registered representative | Feb 2001 (25y) | ||
| Jeffrey G Knapp | Registered representative | Feb 2001 (25y) | ||
| Ruth Ellen Goran | Registered representative | Oct 2001 (25y) | ||
| James Henry Spiegelberg | Registered representative | Oct 2001 (25y) | ||
| Richard John Hageman | Registered representative | CFP CFA | Apr 2004 (22y) | |
| Brian Lee Sohn | Registered representative | CFP | Sep 2007 (19y) | |
| Aaron Robert Greteman | Registered representative | Mar 2008 (18y) | ||
| Brian Patrick Dervin | Registered representative | Oct 2008 (18y) | ||
| Thad Anthony Lichter | Registered representative | Nov 2009 (17y) | ||
| Jerry Lee Kirkpatrick | Registered representative | Dec 2009 (17y) | ||
| Julie Wilson | Registered representative | May 2010 (16y) | ||
| Ivan P Gruhl | Registered representative | CFA | Aug 2011 (15y) | |
| Kelly Leigh Edmonds | Registered representative | Jan 2012 (15y) | ||
| Francis Egan Dardis | Registered representative | Feb 2013 (13y) | ||
| Mark Timothy Lindstrom | Registered representative | CFP | Nov 2013 (13y) | |
| Thomas Edward Pesch | Registered representative | Nov 2013 (13y) | ||
| Brian Truman Russell | Registered representative | Jan 2014 (13y) | ||
| Alan Kutsch | Registered representative | May 2014 (12y) | ||
| Jon F Thoms | Registered representative | May 2014 (12y) | ||
| Gavin Lea Burnham | Registered representative | Jun 2014 (12y) | ||
| Scott Ray Hoyles | Registered representative | Aug 2014 (12y) | ||
| Christopher Manternach | Registered representative | Oct 2014 (12y) | ||
| Patrick Michael Hall | Registered representative | Dec 2014 (12y) | ||
| Robert James Koch | Registered representative | Dec 2014 (12y) | ||
| Deidre Nicole Budahl | Registered representative | Jan 2016 (11y) | ||
| Kayce Lind Gerlach | Registered representative | Jan 2016 (11y) | ||
| Cheryl Ann Kenitzer | Registered representative | Mar 2016 (10y) | ||
| Mark Aaron Lyons | Registered representative | Jun 2016 (10y) | ||
| Kelly E Adams | Registered representative | Nov 2016 (10y) | ||
| Wray Thomas Cooper | Registered representative | Nov 2016 (10y) | ||
| Marcia Marian Lewis | Registered representative | CFP | Dec 2016 (10y) | |
| Douglas Wayne Rogers | Registered representative | Jan 2017 (10y) | ||
| Nicole Marie Myer | Registered representative | Jan 2017 (10y) | ||
| Sarah Lynn Gerhard | Registered representative | Jun 2017 (9y) | ||
| Kevin Peter Marso | Registered representative | Sep 2017 (9y) | ||
| Austin Schaul | Registered representative | CFA | Sep 2017 (9y) | |
| John Clay Csargo | Registered representative | CFP | Sep 2017 (9y) | |
| Frank Norman Goldberg | Registered representative | Jan 2018 (9y) | ||
| Reggie Lee Rowe | Registered representative | Jan 2018 (9y) | ||
| Michelle Marie Steining | Registered representative | Personal Financial Specialist | Jan 2018 (9y) | |
| Brent C. Reinsberg | Registered representative | Feb 2018 (8y) | ||
| Steven David Broihahn | Registered representative | CFP | Apr 2018 (8y) | |
| Nicholas John Bishop | Registered representative | CFP | Apr 2018 (8y) | |
| Nicholas R Kruse | Registered representative | CFP | Apr 2018 (8y) | |
| Peter John Bender | Registered representative | CFP | May 2018 (8y) | |
| Taylor Francis Herbst | Registered representative | CFP | Jun 2018 (8y) | |
| Melanie Dawn Pozorski | Registered representative | Aug 2018 (8y) | ||
| Scott Schemmel | Registered representative | Jan 2019 (8y) | ||
| Carrie Anne Fenton | Registered representative | Jan 2019 (8y) | ||
| Nathan Scott Hand | Registered representative | Feb 2019 (7y) | ||
| Patrick Lloyd Mutchler | Registered representative | Feb 2019 (7y) | ||
| Nicole Ary Boren | Registered representative | May 2019 (7y) | ||
| Kelsey D Swing | Registered representative | Jul 2019 (7y) | ||
| Matthew Earl Folz | Registered representative | Aug 2019 (7y) | ||
| Susan O'neal Thompson | Registered representative | Sep 2019 (7y) | ||
| Ebony Lee Rahe | Registered representative | Nov 2019 (7y) | ||
| Jacob Louis Rosalez | Registered representative | Jun 2020 (6y) | ||
| Terra Jane Norton | Registered representative | Sep 2020 (6y) | ||
| Andrea Lynn Addo | Registered representative | Oct 2020 (6y) | ||
| Angela Mae Ennen | Registered representative | Oct 2020 (6y) | ||
| Gregory John Zink | Registered representative | Jan 2021 (6y) | ||
| Myra Lynn Bakke | Registered representative | Jan 2021 (6y) | ||
| Daniel Douglas Maloney | Registered representative | Feb 2021 (5y) | ||
| Jeremy Joseph Ryan | Registered representative | Feb 2021 (5y) | ||
| Andrew Matuzak | Registered representative | Personal Financial Specialist | Feb 2021 (5y) | |
| Brian Thomas Schmidt | Registered representative | CFP | Mar 2021 (5y) | |
| Brian Carrillo | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Murry | Registered representative | CFP | Mar 2021 (5y) | |
| Christopher Brent Sullivan | Registered representative | CFP | Mar 2021 (5y) | |
| Davin J Carey | Registered representative | Apr 2021 (5y) | ||
| Trevor Thomas | Registered representative | CFP | Apr 2021 (5y) | |
| Laura Marie Gillen | Registered representative | CFP | Jun 2021 (5y) | |
| Christopher John Morris | Registered representative | CFP | Jun 2021 (5y) | |
| Matthew Cash | Registered representative | CFP | Aug 2021 (5y) | |
| Samuel James Angelo | Registered representative | Chartered Financial Consultant | Sep 2021 (5y) | |
| Christopher Matthew Allan | Registered representative | Sep 2021 (5y) | ||
| Michele Irene Lee | Registered representative | Sep 2021 (5y) | ||
| Meryl Linda Futey | Registered representative | CFP | Sep 2021 (5y) | |
| Stanley B. Warner | Registered representative | Nov 2021 (5y) | ||
| Michael Scott Tepastte | Registered representative | Nov 2021 (5y) | ||
| Sam Matthew Di Giovanni | Registered representative | Dec 2021 (5y) | ||
| John J Crowe | Registered representative | Dec 2021 (5y) | ||
| Neal Robinson | Registered representative | CFP | Dec 2021 (5y) | |
| Lisa Marie Matuszny | Registered representative | Jan 2022 (5y) | ||
| Amanda Lynn Lane | Registered representative | May 2022 (4y) | ||
| Jeffrey Edward Callahan | Registered representative | CFP | Jun 2022 (4y) | |
| Jeffrey Steinberg | Registered representative | CFP Chartered Financial Consultant | Jun 2022 (4y) | |
| Jack Anthony Desantis | Registered representative | Jul 2022 (4y) | ||
| Emil Silvester Rufolo | Registered representative | Jul 2022 (4y) | ||
| Todd Edwin Holt | Registered representative | Jul 2022 (4y) | ||
| Jared Michael Savino | Registered representative | Jul 2022 (4y) | ||
| Seth Franklin Atwell | Registered representative | Personal Financial Specialist | Jul 2022 (4y) | |
| Aliina Marie Anton Erik | Registered representative | Personal Financial Specialist | Jul 2022 (4y) | |
| Jon Robbin Harville | Registered representative | Personal Financial Specialist | Aug 2022 (4y) | |
| Moises Humberto Ospina | Registered representative | Sep 2022 (4y) | ||
| Megan Marie Smith | Registered representative | Sep 2022 (4y) | ||
| Terry B Brown | Registered representative | Oct 2022 (4y) | ||
| George P Boyle | Registered representative | Personal Financial Specialist | Oct 2022 (4y) | |
| Hunter Jay Holt | Registered representative | Oct 2022 (4y) | ||
| Michael David Schlitter | Registered representative | Oct 2022 (4y) | ||
| Leah Christine Heidler | Registered representative | Oct 2022 (4y) | ||
| Lawrence Angelo De Baltzo | Registered representative | Dec 2022 (4y) | ||
| John Cliffton Massar | Registered representative | Dec 2022 (4y) | ||
| Jennifer Elizabeth Penning | Registered representative | Jan 2023 (4y) | ||
| Adam Paul Thielen | Registered representative | Jan 2023 (4y) | ||
| Guy Tzour | Registered representative | Jan 2023 (4y) | ||
| Cory Ronald Ritter | Registered representative | Jan 2023 (4y) | ||
| Mordechai Taylor | Registered representative | Jan 2023 (4y) | ||
| Vincent Tomas Ryan | Registered representative | Feb 2023 (4y) | ||
| Jennifer A Richards | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| William Gerard Pembroke | Registered representative | Mar 2023 (3y) | ||
| Tonya Gay Fulcher | Registered representative | Mar 2023 (3y) | ||
| Patrick Michael Trombetta | Registered representative | Apr 2023 (3y) | ||
| Daniyal I Ahmed | Registered representative | CFP | Apr 2023 (3y) | |
| Michael Patrick Mccumiskey | Registered representative | Apr 2023 (3y) | ||
| Nicholas Barnes | Registered representative | CFP | May 2023 (3y) | |
| Susan Winker Maline | Registered representative | May 2023 (3y) | ||
| Reagan Marie Rosalez | Registered representative | Jun 2023 (3y) | ||
| Pardis Ferdosi | Registered representative | CFP | Jun 2023 (3y) | |
| Michael Todd Odom | Registered representative | Personal Financial Specialist | Jul 2023 (3y) | |
| Eric Jon Sowatsky | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| Devon Hochstetter | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| Susan Marie Penno | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| Tara Lee Stensrud | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| Wendy Sue Albers | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| Christopher Kadowaki | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Louis Vincent Loparo | Registered representative | Oct 2023 (3y) | ||
| Alisha Schweizer | Registered representative | Oct 2023 (3y) | ||
| Michael R Ziembo | Registered representative | Nov 2023 (3y) | ||
| Elvis Ndahibeshe | Registered representative | Nov 2023 (3y) | ||
| Anita Kalafut | Registered representative | CFP | Nov 2023 (3y) | |
| Jon Salvatore Gagliardi | Registered representative | Personal Financial Specialist | Nov 2023 (3y) | |
| Zach Josef Van Sambeek | Registered representative | Personal Financial Specialist | Nov 2023 (3y) | |
| Chad Daniel Klyn | Registered representative | Personal Financial Specialist | Dec 2023 (3y) | |
| Lori Lyn Larson | Registered representative | Personal Financial Specialist | Dec 2023 (3y) | |
| Christopher John Michalak | Registered representative | CFP | Jan 2024 (3y) | |
| Jordan Franklin Polston | Registered representative | Jan 2024 (3y) | ||
| Joseph Daniel Webster | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Timothy Stephens | Registered representative | CFP Personal Financial Specialist | Jan 2024 (3y) | |
| Jeffrey Osteen | Registered representative | Jan 2024 (3y) | ||
| Mallory Suzanne Moser | Registered representative | Jan 2024 (3y) | ||
| Robert R Speer | Registered representative | Feb 2024 (2y) | ||
| Zachary Sell | Registered representative | Feb 2024 (2y) | ||
| Bart Patrick Allard | Registered representative | Personal Financial Specialist | Feb 2024 (2y) | |
| Cassidy Hill Schmidt | Registered representative | CFP | Feb 2024 (2y) | |
| Gary Earl Augustine | Registered representative | Feb 2024 (2y) | ||
| James Ray Gardner | Registered representative | Personal Financial Specialist | Feb 2024 (2y) | |
| Kyle Steven Wininger | Registered representative | Personal Financial Specialist | Feb 2024 (2y) | |
| Jessica Lindsey Freiburg | Registered representative | Personal Financial Specialist | Feb 2024 (2y) | |
| David J King | Registered representative | Feb 2024 (2y) | ||
| Cameron J Miller | Registered representative | CFP | Feb 2024 (2y) | |
| Darrah La Vonne Lay | Registered representative | Feb 2024 (2y) | ||
| Deborah Leigh Jones | Registered representative | CFP | Feb 2024 (2y) | |
| Lance Dieleman | Registered representative | Personal Financial Specialist | Mar 2024 (2y) | |
| Matthew Phillip Murch | Registered representative | CFP | Mar 2024 (2y) | |
| Timothy Augustine | Registered representative | CFP | Mar 2024 (2y) | |
| Nichole Marie Powell | Registered representative | Mar 2024 (2y) | ||
| Angela Marie Coxton | Registered representative | Apr 2024 (2y) | ||
| Kristy Marie Haley | Registered representative | Apr 2024 (2y) | ||
| Natalya Zernitskaya | Registered representative | Apr 2024 (2y) | ||
| Alexander Chan | Registered representative | May 2024 (2y) | ||
| Eric Reed Sandvig | Registered representative | May 2024 (2y) | ||
| Shawn Philip Berthelot | Registered representative | May 2024 (2y) | ||
| Lauren Jacobs | Registered representative | Jun 2024 (2y) | ||
| Jena Lee Reinheimer | Registered representative | Jun 2024 (2y) | ||
| Jordan Fowler | Registered representative | CFP | Jul 2024 (2y) | |
| Amanda Demaine | Registered representative | Jul 2024 (2y) | ||
| Andrew Thomas Koskie | Registered representative | Jul 2024 (2y) | ||
| Jan William Rogers | Registered representative | Jul 2024 (2y) | ||
| Laura Ann Danlasky Daigle | Registered representative | Jul 2024 (2y) | ||
| Travis Mitchell | Registered representative | Jul 2024 (2y) | ||
| Aaron Maxey | Registered representative | Jul 2024 (2y) | ||
| Adam J Rang | Registered representative | CFP | Aug 2024 (2y) | |
| Brook Allison Skram | Registered representative | Personal Financial Specialist | Aug 2024 (2y) | |
| Gavin Isaiah Gilpin | Registered representative | Aug 2024 (2y) | ||
| David Richard Peirce | Registered representative | Aug 2024 (2y) | ||
| Justin Smithhisler | Registered representative | Aug 2024 (2y) | ||
| Erica Jean Aitken | Registered representative | Sep 2024 (2y) | ||
| Troy David Coon | Registered representative | Sep 2024 (2y) | ||
| Kyle Pledger | Registered representative | CFP | Sep 2024 (2y) | |
| Deanna Marie Quinlin | Registered representative | Oct 2024 (2y) | ||
| Lucas John Gooding | Registered representative | Oct 2024 (2y) | ||
| Todd Asper | Registered representative | Personal Financial Specialist | Oct 2024 (2y) | |
| Janet Lynn Sacklow | Registered representative | CFP | Nov 2024 (2y) | |
| Joseph Carl Kovar | Registered representative | Personal Financial Specialist | Nov 2024 (2y) | |
| De Shayne Rae Hoag | Registered representative | Nov 2024 (2y) | ||
| Kevin Michael Sweeney | Registered representative | Personal Financial Specialist | Nov 2024 (2y) | |
| Charles William Reimers | Registered representative | Dec 2024 (2y) | ||
| Rami Kassissieh | Registered representative | Personal Financial Specialist | Dec 2024 (2y) | |
| Jill Kaz | Registered representative | CFP | Dec 2024 (2y) | |
| Kathleen Carmen Kovar | Registered representative | Personal Financial Specialist | Dec 2024 (2y) | |
| Melissa La Brue | Registered representative | Jan 2025 (2y) | ||
| Aaron Mabley | Registered representative | CFP | Jan 2025 (2y) | |
| Patrick Owens | Registered representative | Jan 2025 (2y) | ||
| Nicholas Kilburg | Registered representative | CFP | Jan 2025 (2y) | |
| Michelle C Square | Registered representative | Jan 2025 (2y) | ||
| Cassidy Fowler | Registered representative | Feb 2025 (1y) | ||
| Giovanni Valle | Registered representative | CFP | Feb 2025 (1y) | |
| Gregory Wayne Hammonds | Registered representative | Mar 2025 (1y) | ||
| Lacy Nicole Bender | Registered representative | Personal Financial Specialist | Mar 2025 (1y) | |
| Anthony Paul Gibson | Registered representative | Mar 2025 (1y) | ||
| Della Marie Lounsbery | Registered representative | Apr 2025 (1y) | ||
| Emily Christin Millsap | Registered representative | CFP | May 2025 (1y) | |
| Ivan Smirnou | Registered representative | May 2025 (1y) | ||
| Hilary Burkhardt | Registered representative | May 2025 (1y) | ||
| Mitchell Pregler | Registered representative | Jun 2025 (1y) | ||
| Devin Pfaff | Registered representative | Aug 2025 (1y) | ||
| Rhonda Thill | Registered representative | Aug 2025 (1y) | ||
| Angela Atkins Ambrose | Registered representative | CFP | Aug 2025 (1y) | |
| Virginia Cates Irby | Registered representative | Aug 2025 (1y) | ||
| Thomas Joseph Hanna | Registered representative | Oct 2025 (1y) | ||
| Blake Charles Adams | Registered representative | Oct 2025 (1y) | ||
| Jennifer Menard Mouton | Registered representative | Oct 2025 (1y) | ||
| Michelle Inzerella Keenan | Registered representative | Oct 2025 (1y) | ||
| Terrance Joseph Keenan | Registered representative | Oct 2025 (1y) | ||
| Jed Matthew Inzerella | Registered representative | CFP | Oct 2025 (1y) | |
| Michael Todd Domingue | Registered representative | CFP | Oct 2025 (1y) | |
| Sean C Mahoney | Registered representative | CFP | Oct 2025 (1y) | |
| Nathan M Smith | Registered representative | Dec 2025 (1y) | ||
| Robert Joseph Marcell | Registered representative | CFP | Dec 2025 (1y) | |
| Wael Elkhalafawi | Registered representative | Jan 2026 (1y) | ||
| Sharon Ann Mora Schulz | Registered representative | Jan 2026 (1y) | ||
| Kyle Joseph Sperfslage | Registered representative | Feb 2026 (0y) | ||
| Mark Joseph Matkovic | Registered representative | CFP | Mar 2026 (0y) | |
| Amie Marie Toyama | Registered representative | Personal Financial Specialist | Mar 2026 (0y) | |
| Will Davies | Registered representative | Mar 2026 (0y) | ||
| Robert Wayne Carey | Registered representative | Apr 2026 (0y) | ||
| Erich George Loewer | Registered representative | May 2026 (0y) | ||
| Christine Berwick | Registered representative | May 2026 (0y) | ||
| Joan Broussard Moody | Registered representative | May 2026 (0y) | ||
| John Peter Armato | Registered representative | Personal Financial Specialist | May 2026 (0y) | |
| Lauren Verrett Hebert | Registered representative | Personal Financial Specialist | May 2026 (0y) | |
| Adam Johnston Curry | Registered representative | CFP | May 2026 (0y) | |
| Claire Reiners | Registered representative | Personal Financial Specialist | May 2026 (0y) | |
| Benjamin James Baudoin | Registered representative | May 2026 (0y) | ||
| Kyle Paul Saltzman | Registered representative | May 2026 (0y) | ||
| Robert Charles Darnall | Registered representative | CFP Personal Financial Specialist | May 2026 (0y) | |
| Brandon Lyle Porter | Registered representative | May 2026 (0y) | ||
| Jeremy Christian Meaux | Registered representative | May 2026 (0y) | ||
| Jacob Chant Roberie | Registered representative | Jun 2026 (0y) | ||
| Steven Gerard Moosa | Registered representative | Jun 2026 (0y) | ||
| Christopher Allen Miller | Registered representative | Jun 2026 (0y) | ||
| Christopher Harold Baker | Registered representative | CFP | Jun 2026 (0y) | |
| Anthony James Weisser | Registered representative | Personal Financial Specialist | Jul 2026 (0y) | |
| Brian Paul Fisher | Registered representative | Personal Financial Specialist | Jul 2026 (0y) | |
| Lance Daniel Rambousek | Registered representative | Personal Financial Specialist | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Spirit Acquisitions, Llc. | Sole Shareholder | Jul 2020 | A | 75% or more |
| Project Baseball Sub, Inc. | Sole Shareholder | Sep 2015 | B | 75% or more of Avantax Wm Holdings, Inc. (indirect) |
| Avantax, Inc. | Shareholder | Oct 2022 | B | 75% or more of Avantax Holdings, Llc (indirect) |
| Avantax Holdings, Llc | Shareholder | Oct 2022 | B | 75% or more of Project Baseball Sub, Inc. (indirect) |
| Aretec Group, Inc. | Sole Shareholder | Nov 2023 | B | 75% or more of Avantax, Inc. (indirect) |
| Gc Two Intermediate Holdings, Inc. | Sole Shareholder | Nov 2023 | B | 75% or more of Aretec Group, Inc. (indirect) |
| Gc Three Holdings, Inc. | Sole Shareholder | Nov 2023 | B | 75% or more of Gc Two Holdings, Inc. (indirect) |
| Gc Two Holdings, Inc. | Sole Shareholder | Nov 2023 | B | 75% or more of Gc Two Intermediate Holdings, Inc. (indirect) |
| Avantax Wm Holdings, Inc. | Managing Member | Jul 2020 | B | GP / trustee / elected manager of Spirit Acquisitions, Llc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Black Hills Corporation 401(k) Retirement Savings Plan | Black Hills Corporation | 2,830 | $811M | 01/01/2024 |
| Grand Traditions 401(k) Plan | Grand Industrial, Llc | 927 | $10.5M | 01/01/2024 |
| Nfc 401(k) Plan | Northwest Financial Corp | 409 | $65.6M | 01/01/2024 |
| Hydromax Usa, L.L.C. 401(k) Profit Sharing Plan | Hydromax Usa, L.L.C. | 448 | $8.6M | 01/01/2024 |
| Pinnacle Fit Clubs, Llc Retirement Plan | Pinnacle Fit Clubs, Llc | 1,079 | $3.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/18/2026 | 1.9 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $5.4B (71% of AUM) Jun 2026
- Fidelity Personal Trust Company, Fsb $2.1B (28% of AUM) Jun 2026
- Fidelity Brokerage Services $2.0B (29% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 18, 2026.
View current Form ADV (SEC/IAPD) ↗