SEC-registered wealth management firm Broker-dealer affiliated
Ausdal Financial Partners, Inc.
As of its Form ADV filed April 13, 2026, Ausdal Financial Partners, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Davenport, Iowa, reported $3.7 billion in regulatory assets under management across 16,572 accounts, ranking #9 among all wealth firms in Iowa by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 7995
- SEC file number
- 801-69266
- Registered since
- June 5, 2008
- Latest Form ADV filing
- April 13, 2026
- Organized as
- Corporation
- Fiscal year ends
- January
- Other offices
- 111
Key figures
- Regulatory assets under management
- $3.7 billion
- Discretionary
- $3.5 billion (93.3%)
- Non-discretionary
- $250.0 million
- Accounts
- 16,572 (15,750 discretionary)
- Clients
- 17,237, approximate as reported
- Employees
- 306
- Advisory staff
- 168 performing investment advisory functions
- Average account
- $225,278
- Asset growth, 1 year
- 74.9% (from $2.1 billion a year earlier)
- Asset growth, 3-year annual rate
- 38.2% (from $1.4 billion three years earlier)
- Asset growth, 5-year annual rate
- 22.7% (from $1.3 billion five years earlier)
- Client growth, 1 year
- 29.8% (from 13,275)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). 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 | $173.2 million |
| October 3, 2011 | $310.2 million |
| October 1, 2012 | $386.0 million |
| October 1, 2013 | $383.1 million |
| October 1, 2014 | $462.6 million |
| October 1, 2015 | $557.4 million |
| October 3, 2016 | $655.7 million |
| October 2, 2017 | $777.3 million |
| October 1, 2018 | $763.6 million |
| October 1, 2019 | $738.0 million |
| October 1, 2020 | $1.0 billion |
| October 4, 2021 | $1.3 billion |
| October 3, 2022 | $1.7 billion |
| October 5, 2023 | $1.4 billion |
| October 1, 2024 | $1.5 billion |
| September 2, 2025 | $2.1 billion |
| October 2, 2026 | $3.7 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 4,004 clients | $2.1 billion | |
| Individuals (other than high net worth) 12,432 clients | $1.6 billion | |
| Corporations or other businesses 97 clients | $82.7 million | |
| Pension and profit sharing plans 21 clients | $15.3 million | |
| Charitable organizations 18 clients | $5.1 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
- Other
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Accountant or accounting firm
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $1.0 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 189
- Also registered through a broker-dealer
- 181
- Employees who are IARs (Form ADV 5.B(3))
- 180
Designations held by the firm's IARs: CFP 41, ChFC 14, PFS 3.
Between 80 and 178 of the firm's 189 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 5 disclosure questions. 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 |
| Steele Capital Management, Inc. | Dubuque | $3.5 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Ausdal Financial Partners, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.ausdal.com
- 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.