SEC Form ADV, by state
The largest investment adviser firms in Iowa
The current SEC Form ADV data lists 95 investment adviser firms headquartered in Iowa, of which 17 (17.9%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| PRINCIPAL ASSET MANAGEMENT | DES MOINES | $428B | % of AUMfixedperformanceother | yes, reported |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | FAIRFIELD | $139B | % of AUMhourlyfixedcommissionsother | yes, reported |
| SAMMONS FINANCIAL GROUP ASSET MANAGEMENT, LLC | WEST DES MOINES | $122B | % of AUM | none reported |
| PRINCIPAL REAL ESTATE | DES MOINES | $106B | % of AUMfixedperformance | yes, reported |
| AEGON ASSET MANAGEMENT US | CEDAR RAPIDS | $89B | % of AUMfixedperformance | yes, reported |
| TRANSAMERICA RETIREMENT ADVISORS, LLC | CEDAR RAPIDS | $19B | % of AUMfixed | yes, reported |
| PRINCIPAL SECURITIES, INC. | DES MOINES | $17B | % of AUMhourlyfixedother | yes, reported |
| AVANTAX PLANNING PARTNERS, INC. | DUBUQUE | $7.6B | % of AUMhourlyfixed | yes, reported |
| INTEGRITY ALLIANCE, LLC | URBANDALE | $5.4B | % of AUMhourlyfixed | yes, reported |
| FOSTER GROUP, INC. | WEST DES MOINES | $4.8B | % of AUMhourlyfixed | none reported |
| NATIONS FINANCIAL GROUP, INC. | CEDAR RAPIDS | $4.8B | % of AUMfixed | none reported |
| BTC CAPITAL MANAGEMENT | DES MOINES | $4.6B | % of AUMfixed | none reported |
| BFC PLANNING, INC. | CEDAR RAPIDS | $3.8B | % of AUMhourlyfixedother | yes, reported |
| AUSDAL FINANCIAL PARTNERS, INC. | DAVENPORT | $3.7B | % of AUMhourlyfixedcommissionsother | yes, reported |
| STEELE CAPITAL MANAGEMENT, INC. | DUBUQUE | $3.5B | % of AUM | none reported |
| INVESTMENT CONSULTING GROUP INC | DAVENPORT | $2.8B | % of AUMhourlyfixed | none reported |
| GILBERT & COOK, INC. | WEST DES MOINES | $1.7B | % of AUMhourlyfixed | none reported |
| PRINCIPAL ADVISED SERVICES | DES MOINES | $1.4B | % of AUMfixed | none reported |
| ACCEL WEALTH MANAGEMENT | WAVERLY | $1.1B | % of AUMhourlyfixed | yes, reported |
| NORTHWEST WEALTH MANAGEMENT, LLC | SPENCER | $1.0B | % of AUMfixed | none reported |
| LEGACY FINANCIAL GROUP | DES MOINES | $1.0B | % of AUMhourlyother | none reported |
| SYVERSON STREGE | WEST DES MOINES | $911M | % of AUMhourlyfixed | none reported |
| BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | CEDAR RAPIDS | $906M | % of AUMhourlyfixedcommissions | yes, reported |
| DMKC ADVISORY SERVICES, LLC | DES MOINES | $903M | % of AUMhourly | none reported |
| BASEPOINT WEALTH, LLC | CEDAR RAPIDS | $884M | % of AUMhourlyfixedperformance | none reported |
| RDA FINANCIAL NETWORK | AKRON | $675M | % of AUMhourlyfixed | yes, reported |
| WEST FINANCIAL ADVISORS, L.L.C. | DES MOINES | $674M | % of AUMhourly | none reported |
| MERKLE RETIREMENT PLANNING | GRIMES | $569M | % of AUMhourlyfixed | none reported |
| RIA ADVISORY GROUP, LLC | DES MOINES | $568M | % of AUM | yes, reported |
| RETIRERIGHT CONSULTING GROUP | WEST DES MOINES | $561M | % of AUMhourlyfixed | none reported |
| DYNAMIC FINANCIAL GROUP | CEDAR FALLS | $540M | % of AUM | none reported |
| WEALTH ADVISORS OF IOWA, LLC | WEST DES MOINES | $539M | % of AUMhourlyfixedcommissions | none reported |
| MATHESON & ROCK WEALTH MANAGEMENT, LLC | DAVENPORT | $530M | % of AUMother | none reported |
| INDEPENDENT WEALTH NETWORK, INC. | URBANDALE | $518M | % of AUMhourlyfixed | none reported |
| WEALTHSPAN PARTNERS, LLC | DAVENPORT | $451M | % of AUMhourlyfixed | none reported |
| NIKULSKI FINANCIAL, INC. | BETTENDORF | $449M | % of AUMhourlyfixed | yes, reported |
| FSB PREMIER WEALTH MANAGEMENT, INC. | WATERLOO | $432M | % of AUMhourlyfixed | none reported |
| LEGACY BRIDGE PRIVATE FAMILY OFFICES | WEST DES MOINES | $426M | % of AUMhourlyfixedperformanceother | none reported |
| QUAD-CITIES INVESTMENT GROUP, LLC | DAVENPORT | $426M | % of AUM | none reported |
| VALIANT WEALTH, LLC | WEST DES MOINES | $423M | % of AUMfixedperformance | none reported |
| MOKOSAK ADVISORY GROUP, LLC | URBANDALE | $414M | % of AUM | none reported |
| FRIDAY FINANCIAL | DUBUQUE | $409M | % of AUM | none reported |
| COMPASS FINANCIAL SERVICES | WEST DES MOINES | $407M | % of AUMhourly | none reported |
| MIDWEST HERITAGE FINANCIAL ADVISORS | WEST DES MOINES | $399M | % of AUMhourlyfixed | none reported |
| AEGON REAL ASSETS US | CEDAR RAPIDS | $394M | % of AUMfixedperformanceother | none reported |
| PECAUT WEALTH MANAGEMENT | SIOUX CITY | $382M | % of AUMfixed | none reported |
| BOYLE CAPITAL | WEST DES MOINES | $342M | % of AUMhourlyperformance | none reported |
| BALLAST CAPITAL ADVISORS, LLC | WEST DES MOINES | $329M | % of AUMfixed | none reported |
| WEITZEL FINANCIAL SERVICES, INC. | DUBUQUE | $328M | % of AUMhourlyfixed | none reported |
| PETERSON FINANCIAL GROUP, INC. | DES MOINES | $299M | % of AUMfixed | none reported |
Source: SEC Form ADV monthly data, firms reporting a Iowaheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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