Mwa Financial Services, Inc.
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 112630
· SEC file 801-107091
· Rock Island, IL
· www.linkedin.com
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ADV data as of May 01, 2026
- Regulatory AUM
- $640M
- Discretionary
- $0
- Clients
- 2,012
- Avg AUM / client
- $318K
- Accounts
- 3,724
- Employees
- 721
AUM over time
$11.4M
$640M
Dec 2015
May 2026
Annual snapshots from Form ADV filings · as of May 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,905 | $505M | 78.9% |
| High net worth individuals | 76 | $118M | 18.5% |
| Charitable organizations | 17 | $9.7M | 1.52% |
| Corporations and other businesses | 14 | $7.3M | 1.14% |
People (204)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Clint Joseph Pogemiller | President/Chairman | CFP | Feb 2004 (22y) | Less than 5% |
| Dawn M Jensen | Chief Operations Officer | Feb 2006 (20y) | Less than 5% | |
| Kellie Marie Rech | Chief Compliance Officer | Jan 2009 (18y) | Less than 5% | |
| Swanson, Todd David | Treasurer | Jun 2011 (15y) | Less than 5% | |
| Van, Brett Matthew | Director | May 2015 (11y) | Less than 5% | |
| Bohnert, Lester Lee | Director | Apr 2018 (8y) | Less than 5% | |
| Sowards, Jeffrey Neil | Director | Jun 2019 (7y) | Less than 5% | |
| Eigenbrod, Neil Thomas | Finop | Oct 2020 (6y) | Less than 5% | |
| Doyle, Shea Eugene | Secretary/Director | Jan 2023 (4y) | Less than 5% | |
| Lyphout, Jerald James | Director | Jan 2023 (4y) | Less than 5% | |
| Thomas Green | Registered representative | CFP | Jun 2004 (22y) | |
| Larry Lee Marlette | Registered representative | Aug 2004 (22y) | ||
| Joseph Benton Griffith | Registered representative | Sep 2004 (22y) | ||
| Steward David Lyman | Registered representative | Sep 2004 (22y) | ||
| Douglas Wilson Grenier | Registered representative | Feb 2006 (20y) | ||
| Sarah Jane Hyde | Registered representative | Feb 2006 (20y) | ||
| Michael James Hetrick | Registered representative | Feb 2006 (20y) | ||
| David Charles Pereira | Registered representative | CFP | Aug 2006 (20y) | |
| Barrett William Essman | Registered representative | Jan 2007 (20y) | ||
| Jeffrey Earl Eastin | Registered representative | CFP | Aug 2007 (19y) | |
| Steven Charles Wellington | Registered representative | CFP | Feb 2011 (15y) | |
| Kallene Marie Faris | Registered representative | CFP Chartered Financial Consultant | Apr 2012 (14y) | |
| Theodore Henry Heidrich | Registered representative | Feb 2013 (13y) | ||
| Charles Edmund Simms | Registered representative | Chartered Financial Consultant | May 2014 (12y) | |
| Patrice Marie Mccann Koerselman | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Scott Matthew Mcdonald | Registered representative | Chartered Financial Consultant | Feb 2017 (9y) | |
| Bradley Stuart Franks | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Jonathan Paul Obest | Registered representative | CFP | Jun 2017 (9y) | |
| Lucas Nathan Hill | Registered representative | Jan 2018 (9y) | ||
| Zachary Tyler Mcdowell | Registered representative | Apr 2018 (8y) | ||
| Barry Shane Catlett | Registered representative | Jul 2018 (8y) | ||
| William Terrill Schenck | Registered representative | Sep 2018 (8y) | ||
| Nathan William Neighbour | Registered representative | Jan 2019 (8y) | ||
| Timothy Patrick Smith | Registered representative | Feb 2019 (7y) | ||
| Daniel Thomas Lloyd | Registered representative | Chartered Financial Consultant | Feb 2019 (7y) | |
| Bennett L Sperber | Registered representative | Mar 2019 (7y) | ||
| Timothy Joseph Vinton | Registered representative | Apr 2019 (7y) | ||
| Arthur Lorenz Patterson | Registered representative | Apr 2019 (7y) | ||
| Andrew Donald Dewey | Registered representative | Apr 2019 (7y) | ||
| Jarrett Doss Glosson | Registered representative | Chartered Financial Consultant | May 2019 (7y) | |
| Dannielle Willoughby Roberts | Registered representative | Aug 2019 (7y) | ||
| Gregory Dale Mallett | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Robert Vlao Scovil | Registered representative | Jan 2020 (7y) | ||
| Brent Nathan Bice | Registered representative | Jan 2020 (7y) | ||
| Amanda Suzanne Denney | Registered representative | Feb 2020 (6y) | ||
| Brian Eugene Souder | Registered representative | Feb 2020 (6y) | ||
| Jefferey Zhu | Registered representative | May 2020 (6y) | ||
| Barton Reid Warren | Registered representative | Jun 2020 (6y) | ||
| Michael William Sehlmeyer | Registered representative | Jul 2020 (6y) | ||
| Jeffrey Clay Lockamon | Registered representative | Jul 2020 (6y) | ||
| Brian Andrew Bordic | Registered representative | Sep 2020 (6y) | ||
| Hector Alexis Romo | Registered representative | May 2021 (5y) | ||
| Daniel Lawrence Frey | Registered representative | May 2021 (5y) | ||
| Jonathan Martin Marsh | Registered representative | May 2021 (5y) | ||
| Jacob Timothy Campbell | Registered representative | Jul 2021 (5y) | ||
| Lauren Dalena Brown Stalnaker | Registered representative | Aug 2021 (5y) | ||
| Daniel Jess Deiter | Registered representative | Sep 2021 (5y) | ||
| Lori Dianna Seckel | Registered representative | Oct 2021 (5y) | ||
| Travis Joseph De Zordo | Registered representative | Oct 2021 (5y) | ||
| Emily Marie Harris | Registered representative | Jan 2022 (5y) | ||
| Kelly Guy Herring | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Victor Chibuzo Nwaba | Registered representative | Jan 2022 (5y) | ||
| Chad Braden Foster | Registered representative | Feb 2022 (4y) | ||
| Charles Wesley Pratt | Registered representative | Feb 2022 (4y) | ||
| Beau Michael Jackson | Registered representative | Apr 2022 (4y) | ||
| Kory Nash Meade | Registered representative | Apr 2022 (4y) | ||
| Austin Taylor Beneteau | Registered representative | Apr 2022 (4y) | ||
| Jonathan Adam Dannecker | Registered representative | CFP | Apr 2022 (4y) | |
| Charles Mitchell King | Registered representative | Jun 2022 (4y) | ||
| Shane Vandline Vetch | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Terry Richard Downs | Registered representative | Jul 2022 (4y) | ||
| Joshua Evan Leung | Registered representative | Jul 2022 (4y) | ||
| Kyle Lepley | Registered representative | Aug 2022 (4y) | ||
| Timothy Daniel Johnson | Registered representative | CFP | Sep 2022 (4y) | |
| Keith Emory Mays | Registered representative | Nov 2022 (4y) | ||
| Staci Lynne Irwin | Registered representative | Dec 2022 (4y) | ||
| Daniel Henry Dickenson | Registered representative | Jan 2023 (4y) | ||
| Meghann Laryn Moon | Registered representative | Mar 2023 (3y) | ||
| Herman Yang | Registered representative | Apr 2023 (3y) | ||
| Clinton Emile Koen | Registered representative | Jun 2023 (3y) | ||
| Jonathan F Dech | Registered representative | Jun 2023 (3y) | ||
| Kevin Lynn Jones | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Mark Christopher Phillips | Registered representative | Sep 2023 (3y) | ||
| Bryant Alan Brown | Registered representative | Sep 2023 (3y) | ||
| Carson Reed Wooster | Registered representative | Nov 2023 (3y) | ||
| Samuel Sean Saied | Registered representative | Feb 2024 (2y) | ||
| Andrew Lee Mc Neal | Registered representative | Mar 2024 (2y) | ||
| Steven Gregory Kramer | Registered representative | Mar 2024 (2y) | ||
| John Allen Medina | Registered representative | Mar 2024 (2y) | ||
| Roque Moreira | Registered representative | Mar 2024 (2y) | ||
| Daryn Ray Trogdon | Registered representative | Mar 2024 (2y) | ||
| Timothy Clayton Cornell | Registered representative | Mar 2024 (2y) | ||
| Caitlin Marie Eyth | Registered representative | Apr 2024 (2y) | ||
| Tonja Lea Harding | Registered representative | May 2024 (2y) | ||
| Brendon Helms | Registered representative | Jun 2024 (2y) | ||
| Joseph Rene Soucy | Registered representative | Jun 2024 (2y) | ||
| Jacob Cole Ferdig | Registered representative | Jun 2024 (2y) | ||
| Jackson Douglas Hauser | Registered representative | Jun 2024 (2y) | ||
| Daniel August Ceschin | Registered representative | Jun 2024 (2y) | ||
| Daniel Terrance Nungesser | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Jerry Wayne Averett | Registered representative | Jul 2024 (2y) | ||
| Kristina Lynne Ribali | Registered representative | Jul 2024 (2y) | ||
| Jackson Wells | Registered representative | Aug 2024 (2y) | ||
| Caroline Stover Lupo | Registered representative | Aug 2024 (2y) | ||
| Blake Panosh | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Tracy Lea Barnas | Registered representative | Oct 2024 (2y) | ||
| Kraigg Knary | Registered representative | Oct 2024 (2y) | ||
| Daniel Ryan Butlig | Registered representative | Oct 2024 (2y) | ||
| Taylor Archer | Registered representative | Oct 2024 (2y) | ||
| Ryan Clark Anderson | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Robert Sherman On | Registered representative | Dec 2024 (2y) | ||
| Daniel Lee Lawrence | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Marsha Kay Mckinnie | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Sean Patrick Keyes | Registered representative | Jan 2025 (2y) | ||
| Taren Rae Sartler | Registered representative | Jan 2025 (2y) | ||
| Vincent Neale Vickers | Registered representative | Jan 2025 (2y) | ||
| James Alewine | Registered representative | Jan 2025 (2y) | ||
| Paul David Barrish | Registered representative | Jan 2025 (2y) | ||
| Nicholas Anthony Sztapka | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Clint Heston Coon | Registered representative | Feb 2025 (1y) | ||
| Malissa Worrell | Registered representative | Feb 2025 (1y) | ||
| Christopher Jeffrey Schultz | Registered representative | Feb 2025 (1y) | ||
| Simone Cockrell | Registered representative | Feb 2025 (1y) | ||
| Benjamin Stuart Pierce | Registered representative | Feb 2025 (1y) | ||
| Justin Gray Hepler | Registered representative | Feb 2025 (1y) | ||
| Neal M Litton | Registered representative | Feb 2025 (1y) | ||
| Nicholas Adam Springer | Registered representative | Feb 2025 (1y) | ||
| William Alexander Burgess | Registered representative | Feb 2025 (1y) | ||
| Jeremy Aaron Slone | Registered representative | Mar 2025 (1y) | ||
| Quinnlan Chase Smith | Registered representative | Apr 2025 (1y) | ||
| Peter J Raven | Registered representative | Apr 2025 (1y) | ||
| Luke G Rawlings | Registered representative | Apr 2025 (1y) | ||
| Duc Duy Le | Registered representative | May 2025 (1y) | ||
| Adam James Stuart | Registered representative | Jun 2025 (1y) | ||
| John Michael Shelton | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Nichole Straub | Registered representative | Aug 2025 (1y) | ||
| Harold Charles Albo | Registered representative | Aug 2025 (1y) | ||
| Lisa Ann Phelps | Registered representative | Aug 2025 (1y) | ||
| Daniel Douglas Polk | Registered representative | Sep 2025 (1y) | ||
| Quintin Matthew Mangano | Registered representative | Sep 2025 (1y) | ||
| Garret Jacob Keith Mogg | Registered representative | Sep 2025 (1y) | ||
| Gregory D Schoemer | Registered representative | Sep 2025 (1y) | ||
| Michael James Zadalis | Registered representative | Sep 2025 (1y) | ||
| Adam Wolf | Registered representative | Oct 2025 (1y) | ||
| Chris Jon Knabe | Registered representative | Oct 2025 (1y) | ||
| Ethan Charles Kreitner | Registered representative | Oct 2025 (1y) | ||
| Taylor Alexis Farley | Registered representative | Oct 2025 (1y) | ||
| Jared Michael Mysliwiec | Registered representative | Oct 2025 (1y) | ||
| Griffin William Hailey | Registered representative | Oct 2025 (1y) | ||
| Saul Lopez | Registered representative | Nov 2025 (1y) | ||
| Kyle Robert Weber | Registered representative | Dec 2025 (1y) | ||
| Mark Anthony Kubik | Registered representative | Dec 2025 (1y) | ||
| Curtis Lee Weeks | Registered representative | Dec 2025 (1y) | ||
| Melissa Noel Monroe | Registered representative | Dec 2025 (1y) | ||
| Elizabeth A Abben | Registered representative | Dec 2025 (1y) | ||
| Jacob Eugene Baxter | Registered representative | Jan 2026 (1y) | ||
| Jarrett Tate Jackson | Registered representative | Jan 2026 (1y) | ||
| Joshua John Russell | Registered representative | Jan 2026 (1y) | ||
| Sara Susan Karweick | Registered representative | Jan 2026 (1y) | ||
| Theodore Nathan Fiawoo | Registered representative | Jan 2026 (1y) | ||
| Seth O Vlahakos | Registered representative | Jan 2026 (1y) | ||
| Chidera Arinze Christian Oti | Registered representative | Jan 2026 (1y) | ||
| Hector Fernandez Flores | Registered representative | Jan 2026 (1y) | ||
| Jacob Alan Young | Registered representative | Jan 2026 (1y) | ||
| Jodi Marie Nelson | Registered representative | Jan 2026 (1y) | ||
| Jonathan Douglas Stoneking | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Wayne Mc Cormick | Registered representative | Jan 2026 (1y) | ||
| Brian Zachariah Danin | Registered representative | Jan 2026 (1y) | ||
| Mary Evelyn Sobataka | Registered representative | Jan 2026 (1y) | ||
| Ricky Lee Johnson | Registered representative | Jan 2026 (1y) | ||
| Lukas Gabriel Rakowsky | Registered representative | Jan 2026 (1y) | ||
| Timothy J Eaton | Registered representative | Jan 2026 (1y) | ||
| Aimee Shaye Polk | Registered representative | Jan 2026 (1y) | ||
| Antonio Louis Gamez | Registered representative | Jan 2026 (1y) | ||
| James Paul Brown | Registered representative | Jan 2026 (1y) | ||
| Andrew Joseph Moser | Registered representative | Feb 2026 (0y) | ||
| Gaylin Alvin Sommers | Registered representative | Mar 2026 (0y) | ||
| Michael William Cerami | Registered representative | Mar 2026 (0y) | ||
| Amanda Jade Ripley | Registered representative | Mar 2026 (0y) | ||
| Anthony Christian Pritzel | Registered representative | Mar 2026 (0y) | ||
| Nathan Keith Roberts | Registered representative | Mar 2026 (0y) | ||
| Steven Dean Barnett | Registered representative | Mar 2026 (0y) | ||
| Patrick Ryan Hanlon | Registered representative | Mar 2026 (0y) | ||
| James Michael Thompson | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Jill Suzanne Crump | Registered representative | Apr 2026 (0y) | ||
| Daniel Evan Cunningham | Registered representative | Apr 2026 (0y) | ||
| Cole Redmond Hunter | Registered representative | Apr 2026 (0y) | ||
| Ryan Gregory Bunch | Registered representative | Apr 2026 (0y) | ||
| Bruce Allen Lafferre | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jorge Castillo | Registered representative | May 2026 (0y) | ||
| Andrew Bryce Reynolds | Registered representative | May 2026 (0y) | ||
| Brandon Dean Stover | Registered representative | May 2026 (0y) | ||
| Jerry Thomas Mayo | Registered representative | May 2026 (0y) | ||
| Mekhi Mc Duffie | Registered representative | May 2026 (0y) | ||
| Erin Nicole Runyon | Registered representative | Jun 2026 (0y) | ||
| Linda Carol Ayotte | Registered representative | Jun 2026 (0y) | ||
| Andrew Scott Macdonald | Registered representative | Jun 2026 (0y) | ||
| Shed Hill Hunger | Registered representative | Jun 2026 (0y) | ||
| Carlos Enrique Sanchez | Registered representative | Jun 2026 (0y) | ||
| Wade Gaylen Cornick | Registered representative | Jun 2026 (0y) | ||
| Trace Ambrose Timmons | Registered representative | Jun 2026 (0y) | ||
| Robert Edward Sandrock Walsh | Registered representative | Jul 2026 (0y) | ||
| Thomas Earl Seibert | Registered representative | Jul 2026 (0y) | ||
| Ethan Eric Ross | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Modern Woodmen Of America | Parent Co. | Feb 2001 | A | 75% or more |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/01/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(1), 11.D(2), 11.D(4)
as of Nov 27, 2024
Allegations: THE MO SECURITIES DIVISION ALLEGED THAT RR VOLKERDING ENGAGED IN DISHONEST AND UNETHICAL PRACTICES WHEN HE RECOMMENDED THE LIQUIDATION OF THE ACCOUNT TO FUND A MODERN WOODMEN FIXED ANNUITY, ALLEGING THE APPLICATION FOR THE ANNUITY WAS COMPLETED WITHOUT SUFFICIENTLY DETERMINING WHAT THE INVESTOR'S NET WORTH ACTUALLY WAS AND KNOWINGLY ENTERING INACCURATE INFORMATION IN ORDER TO PASS SUITABILITY REVIEW. THE DIVISION ALLEGED THAT THE FIRM HAD FAILED TO REASONABLY SUPERVISE VOLKERDING IN THIS TRANSACTION. CONSENTING TO THE ORDER, THE FIRM HAS AGREED TO ADDITIONAL TRAINING TO MISSOURI RRS, PAYING $10,000 TO THE INVESTOR EDUCATION AND PROTECTION FUND AND PAYING $5,000 FOR THE COST OF THE INVESTIGATION. Status: Final Sanction Detail: $10000 WAS PAID ON 2/26/16 TO INVESTOR EDUCATION AND PROTECTION FUND. $5000 WAS PAID ON 2/26/16 TO THE MO SECURITIES DIVISION. Summary: THE FIRM WAS UNAWARE UNTIL THE CONSENT ORDER THAT THE DIVISION WAS ALLEGING THE FIRM ENGAGED IN ANY WRONG-DOING AS THE PRODUCT PURCHASED AND SUBSEQUENT SUITABILITY REVIEW OF THE FIXED ANNUITY WAS HANDLED BY THE PARENT COMPANY. UNTIL THE CONSENT ORDER, THE FIRM HAD BEEN UNDER THE ASSUMPTION THE DIVISION'S REVIEW WAS OF THE PARENT COMPANY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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
- • Selection of other advisers
Custody
Reported custodians
- Assetmark Trust Company $529M (83% of AUM) May 2026
- Pershing $52.0M (8% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 01, 2026.
View current Form ADV (SEC/IAPD) ↗