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Berthel, Fisher & Company Financial Services, Inc.

Berthel, Fisher & Company Financial Services, Inc.. CRD 13609

Berthel, Fisher & Company Financial Services, Inc. logo

CRD: 13609

Berthel, Fisher & Company Financial Services, Inc.

Cedar Rapids, IA, 52402
3194475700
www.berthel.com
$906.4M Total AUM
$438.1M Disc. AUM
32.8% 3Y CAGR
100 Employees
3,358 ADV. Clients
42 yrs Firm Age

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Firm Details

Custodian
Fidelity/NFS
Clients
Retail and Institutional
Platforms
SummitDelta +more
Established Date
08-22-1983
Office Locations
171

Office Locations

10 Aberdeen Drive Greenville SC
1012 Harrison AVE Suite 2 Harrison OH
105 Court Street Suite 504 Elyria OH

About Berthel, Fisher & Company Financial Services, Inc.

Berthel Fisher Companies is an independent, privately owned national financial services firm supporting advisors with a home-office partner model. It provides financial and investment planning, portfolio construction, and insurance plus estate/tax planning support, with an active, asset-allocation approach using ETFs, fixed income, and alternative strategies (e.g., private equity/real estate). Operates across retail and institutional channels and lists Fidelity/NFS as a key custodian.

Team overview

53 AVG AGE
$9.1M AVG AUM / ADVISOR
$269.9K AVG AUM / CLIENT
10.5 yrs AVG TENURE
100 Employees
100 Advisory Reps
100 RIA Reps
42yrs Firm Age

Insights

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Asset Classes

Optima North fusion Horizon vital Beacon Ember

Client Personas

Frontier eagle

Custodian

Crest Alpha Element Oak wave Wave Wave peak Momentum Momentum Harbor prime Glacier momentum Insight capital Value prime

Investment Themes

Matrix Zenith beacon Vector prime Vector

Investment Vehicles

Harbor catalyst

Platform

Ridge quantum

Services

Vital crest Wave Eagle Vertex Focus legacy Momentum Element Pathway unison

Technology

Vital vector Value vertex Frontier unison

Owner & Executives

THOMAS JOSEPH BERTHEL

THOMAS JOSEPH BERTHEL

Advisor, Chairman Of Board, Chairman Of The Board, EXECUTIVE VICE PRESIDENT

CRD
#823289
Ownership
Less than 5%
(597) 511-5230
ember.unison@peakcapital.com
in linkedin.com/in/matrix-alpha
K

KIMBERLY KAREN EARLY CHAPMAN

Chief Compliance Officer

CRD
#2527036
Ownership
Less than 5%
(876) 773-7081
north.oak@harborcapital.com
in linkedin.com/in/oak-prime
Q

Quantum focus

Bridge foundation signal

CRD
#76478
Ownership
17.3%
(343) 800-4020
fusion.legacy@meridiancapital.com
in linkedin.com/in/frontier-optima

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Contacts

J

JASMINE ENID ARDS

--

CRD
#5496990
(620) 581-3174
delta.wave@peakcapital.com
in linkedin.com/in/insight-crest
R

ROBERT WAYNE BAGBY JR

--

CRD
#1936722
(435) 456-8689
crest.atlas@horizoncapital.com
in linkedin.com/in/beacon-insight
E

Eagle glacier

Unison north

CRD
#46190
(664) 463-8813
unison.matrix@fusioncapital.com
in linkedin.com/in/legacy-value

Showing 2 of 296 contacts

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
11-10-2022
03-30-2023
03-25-2024
03-26-2025
03-27-2026
Category Assets AVG. Account size
Discretionary $438,087,820 $236,293
Non-Discretionary $468,351,669 $312,651
Total $906,439,489 $270,418

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Separately Managed Accounts

Total SMA Asset: $906,439,489

$906.4M Total SMA
Equity - Exchange:
25.1%
Public Funds:
13.1%
U.S. Government/Agency:
29.5%
Municipal Bonds:
23.2%
Cash:
9.1%
Asset class Assets Assets %
Equity - Exchange $666,427,233 25.1%
Public Funds $347,816,604 13.1%
U.S. Government/Agency $783,251,131 29.5%
Municipal Bonds $615,980,550 23.2%
Cash $241,613,060 9.1%
Total $2,655,088,578 100.0%

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