BFC PLANNING, INC.
Adviser information for BFC PLANNING, INC. last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 200 |
|---|---|
| Investment Advisory/Research | 200 |
| Registered Broker-Dealer Representatives | 200 |
| Registered State Investment Advisers | 200 |
| Licensed Agents of an Insurance Company | 191 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6,414 | $1.2B |
| Non-Discretionary | 2,335 | $602.2M |
| Total | 8,749 | $1.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6,417 | $1.1B |
| HNW Individuals | 28 | $634.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 32 | $5.5M |
| Charitable organizations | 15 | $717,497 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 55 | $49.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSOLICITOR FEE |
Identifiers
| SEC RIA File Number | 801-67427 |
|---|---|
| SEC ERA File Number | 801-67427 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119682 |
| Legal Entity Identifier | None |
Principal Office
4201 42ND STREET NESUITE 100
CEDAR RAPIDS
IA
United States
Monday - Friday, MON-THURS:8AM-5PM;FRI:8AM-4PM
Tel: 319-447-5700, Fax: 319-447-4244
Chief Compliance Officer
KIMBERLY CHAPMAN
4201 42ND STREET NE
SUITE 100
CEDAR RAPIDS
IA
United States
Tel:
3194475700
Fax:
319-730-5410
K*******@**********M
(Full email address available in API data)
Regulatory Contact
SHELLEY DAVENPORT
VP LEGAL AND REGULATORY MATTERS
4201 42ND ST NE
SUITE 100
CEDAR RAPIDS
IA
United States
Tel:
3194475700
S*********@**********M
(Full email address available in API data)
Industry Affiliates
| BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| SECURITIES MANAGEMENT & RESEARCH, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERTHEL, THOMAS, JOSEPH | Individual | – | CHAIRMAN OF BOARD | 03/1989 | < 5% |
| BERTHEL FISHER & COMPANY | Domestic Entity | – | SHAREHOLDER | 03/1989 | > 75% |
| BERTHEL, THOMAS, JOSEPH | Individual | BERTHEL FISHER & COMPANY | CHAIRMAN OF BOARD | 11/1984 | 25-50% |
| WILCOX, RANDY, AUSTIN | Individual | – | VP COMPLIANCE/OSJ MANAGER | 06/2021 | < 5% |
| SCHAUL, JOANNA, MARIE | Individual | – | SECRETARY | 09/2014 | < 5% |
| CHRISTOFFERSON, ANDREW, JAMES | Individual | – | CHIEF EXECUTIVE OFFICER/PRESIDENT | 04/2015 | < 5% |
| Rupp, Brian | Individual | – | VICE PRESIDENT/CONTROLLER/TREASURER | 11/2017 | < 5% |
| SWARTZENDRUBER, PAIGE, NICHOLE | Individual | – | CHIEF BUSINESS DEVELOPMENT OFFICER | 03/2017 | < 5% |
| Peterman, Tobi, Lane | Individual | – | VICE PRESIDENT/OPERATIONS | 08/2019 | < 5% |
| CHAPMAN, KIMBERLY, KAREN EARLY | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2020 | < 5% |
| HOHN, JAMES, RALPH | Individual | – | VP TECHNOLOGY | 12/2020 | < 5% |