Data / Investment advisers / Iowa / Berthel Fisher & Company Financial Services, Inc.
Berthel Fisher & Company Financial Services, Inc., Cedar Rapids, IA: $906 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Berthel Fisher & Company Financial Services, Inc. is an SEC registered investment adviser with its main office in Cedar Rapids, Iowa and reports $906 million in regulatory assets under management in its Form ADV filed March 27, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 13609
- SEC file number
- 801-62277
- SEC status
- Approved, effective August 27, 2003
- Legal name
- Berthel, Fisher & Company Financial Services, Inc.
- Main office
- 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
- Phone
- (319) 447-5700
- Website
- berthel.com
- Regulatory AUM
- $906,439,489 in the Form ADV filed March 27, 2026
- Discretionary AUM
- $438,087,820
- Non discretionary AUM
- $468,351,669
- Accounts
- 3,352
- Employees
- 100, of which 100 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions
- Other offices
- 55
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions, other Item 11 matters
- Latest Form ADV filing
- March 27, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 3,278 | $719.9 million |
| High net worth individuals | 45 | $161.2 million |
| Corporations or other businesses | 19 | $20.4 million |
| Pension and profit sharing plans | 10 | $5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $906.4 million | March 27, 2026 |
| December 1, 2025 | $798.1 million | March 26, 2025 |
Other advisers in Cedar Rapids
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Aegon Asset Management US | Cedar Rapids | $88.80 billion | 19 | adviserinfo.sec.gov |
| Transamerica Retirement Advisors, LLC | Cedar Rapids | $18.83 billion | Not listed | adviserinfo.sec.gov |
| Nations Financial Group, Inc. | Cedar Rapids | $4.77 billion | Not listed | adviserinfo.sec.gov |
| BFC Planning, Inc. | Cedar Rapids | $3.84 billion | Not listed | adviserinfo.sec.gov |
| Basepoint Wealth, LLC | Cedar Rapids | $883.8 million | Not listed | adviserinfo.sec.gov |
| Aegon Real Assets US | Cedar Rapids | $394.5 million | 1 | adviserinfo.sec.gov |
| Beacon Capital, LLC | Cedar Rapids | $278.3 million | Not listed | adviserinfo.sec.gov |
| Cedar Point Capital Partners, LLC | Cedar Rapids | $248.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Cedar Rapids, IA
- Investment advisers in Iowa
- Advisers with $500 million to $1 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Berthel Fisher & Company Financial Services, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.