Wealth Plus Of The Dakotas, Inc.
- Regulatory AUM
- $79.3M
- Discretionary
- $24.3M
- Clients
- 135
- Avg AUM / client
- $587K
- Accounts
- 135
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 128 | $24.3M | 30.6% |
| Pension and profit sharing plans | 7 | $55.0M | 69.4% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Spirit Lake Tribe 401(k) Plan Spirit Lake Tribe | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lloyd Douglas Hodgin | Registered representative | Apr 2019 (7y) | ||
| John Richard Carlson | Registered representative | Jan 2026 (1y) | ||
| Trevor Charles Begeman | Registered representative | Jan 2026 (1y) |
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 (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Spirit Lake Tribe 401(k) Plan | Spirit Lake Tribe | 455 | $16.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 1.51 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SOLICITOR'S FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $24.3M (31% of AUM) Mar 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: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗