Adviser Profile

As of Date 09/24/2026
Registration SEC, Approved, 03/04/2020
Other registrations (4)
ADV Location DUBUQUE, IA, United States
Contact Info 563 xxxxxxx
Websites
AUM* 327,771,408 37%
of that, discretionary 324,653,982 37%
Number of Employees 4 33%
of those in investment advisory functions 4 33%
Private Fund GAV* 0
Avg Account Size 289,040 84%
% High Net Worth 26.72% 12%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

325M 278M 232M 186M 139M 93M 46M
2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker78464A805 Stock NameSTATE STREET SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET E $ Position$61,750,418 % Position21.00% $ Change14.00% # Change1.00%
Stck Ticker921943858 Stock NameVANGUARD FTSE DEVELOPED MARKETS INDEX FUND ETF SHARES $ Position$43,368,427 % Position15.00% $ Change9.00% # Change1.00%
Stck Ticker808524797 Stock NameSCHWAB U.S. DIVIDEND EQUITY ETF $ Position$22,823,736 % Position8.00% $ Change9.00% # Change4.00%
Stck Ticker78464A649 Stock NameSTATE STREET SPDR PORTFOLIO AGGREGATE BONDETF $ Position$18,872,333 % Position6.00% $ Change4.00% # Change4.00%
Stck Ticker46090E103 Stock NameINVESCO QQQ TR $ Position$13,310,686 % Position5.00% $ Change24.00% # Change1.00%
Stck Ticker464289875 Stock NameISHARES CORE 40/60 MODERATE ALLOCATION ETF $ Position$15,572,014 % Position5.00% $ Change5.00% # Change1.00%
Stck Ticker33739Q200 Stock NameFIRST TRUST LOW DURATIONOPPORTUNITIES ETF $ Position$13,287,042 % Position5.00% $ Change2.00% # Change1.00%
Stck Ticker92203J407 Stock NameVANGUARD TOTAL INTERNATIONAL BOND INDEXFUND ETF SHARES $ Position$12,925,269 % Position4.00% $ Change3.00% # Change2.00%
Stck Ticker33738R506 Stock NameFIRST TRUST RISING DIVIDEND ACHIEVERS ETF $ Position$12,220,260 % Position4.00% $ Change20.00% # Change3.00%
Stck Ticker922908769 Stock NameVANGUARD TOTAL STOCK MARKET INDEX FUND ETF SHARES $ Position$11,340,434 % Position4.00% $ Change20.00% # Change5.00%

Brochure Summary