SEC-registered wealth management firm Broker-dealer affiliated
Avantax Planning Partners, Inc.
As of its Form ADV filed June 18, 2026, Avantax Planning Partners, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Dubuque, Iowa, reported $7.6 billion in regulatory assets under management across 13,797 accounts, ranking #4 among all wealth firms in Iowa by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 106237
- SEC file number
- 801-50939
- Registered since
- January 17, 1996
- Latest Form ADV filing
- June 18, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 169
Key figures
- Regulatory assets under management
- $7.6 billion
- Discretionary
- $7.6 billion (99.9%)
- Non-discretionary
- $5.3 million
- Accounts
- 13,797 (13,793 discretionary)
- Clients
- 8,372, approximate as reported
- Employees
- 261
- Advisory staff
- 200 performing investment advisory functions
- Average account
- $548,626
- Asset growth, 1 year
- 9.2% (from $6.9 billion a year earlier)
- Asset growth, 3-year annual rate
- 11.5% (from $5.5 billion three years earlier)
- Asset growth, 5-year annual rate
- 10.5% (from $4.6 billion five years earlier)
- Client growth, 1 year
- 0.0% (from 8,375)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $930.0 million |
| October 3, 2011 | $1.0 billion |
| October 1, 2012 | $1.1 billion |
| October 1, 2013 | $1.4 billion |
| October 1, 2014 | $1.7 billion |
| October 1, 2015 | $2.1 billion |
| October 3, 2016 | $2.3 billion |
| October 2, 2017 | $2.7 billion |
| October 1, 2018 | $3.0 billion |
| October 1, 2019 | $3.2 billion |
| October 1, 2020 | $4.1 billion |
| October 4, 2021 | $4.6 billion |
| October 3, 2022 | $5.8 billion |
| October 5, 2023 | $5.5 billion |
| October 1, 2024 | $6.4 billion |
| September 2, 2025 | $6.9 billion |
| October 2, 2026 | $7.6 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 1,216 clients | $3.6 billion | |
| Pension and profit sharing plans 591 clients | $2.2 billion | |
| Individuals (other than high net worth) 6,299 clients | $1.6 billion | |
| Corporations or other businesses 111 clients | $152.5 million | |
| Charitable organizations 153 clients | $49.6 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 2500.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Municipal advisor
- Trust company
- Accountant or accounting firm
- Insurance company or agency
- Pension consultant
Custody (Item 9)
The firm reported custody of client cash or securities, $7.6 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 10
- Also registered through a broker-dealer
- 5
- Employees who are IARs (Form ADV 5.B(3))
- 251
Designations held by the firm's IARs: CFP 1.
Between 2 and 3 of the firm's 10 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 1 disclosure question. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Iowa
| Firm | City | RAUM |
|---|---|---|
| Integrity Alliance, LLC | Urbandale | $5.4 billion |
| Foster Group, Inc. | West Des Moines | $4.8 billion |
| Nations Financial Group, Inc. | Cedar Rapids | $4.8 billion |
| BFC Planning, Inc. | Cedar Rapids | $3.8 billion |
| Ausdal Financial Partners, Inc. | Davenport | $3.7 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Avantax Planning Partners, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: avantax.com/affiliation-models/registered-investment-advisors-ria
- Wealth management firms in Iowa
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.