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Berthel Fisher & Co. Financial Services Inc.

A subsidiary of Berthel Fisher & Co.

701 Tama St.

Marion, IA 52302

(319) 447-5700

berthel.com

Year founded: 1982

Year end: Dec. 31

No. of retail offices: 287

All 2013-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Retail accounts
  • Advisory accounts
  • Other types of accounts
  • Other types of accounts (specified)

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2013 2012 2011
No. of reps339334380
No. of producing reps326323365
No. of reps producing $100K-$499K /year133135155

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2013 2012 2011
Total revenues$64,179,387$55,796,178$54,685,422
Commission revenues$48,402,682$41,114,993$40,772,878
Fee revenues$12,435,160$10,807,232$10,289,674
Total revenues: Other$3,341,545$3,873,953$3,622,870
2013 2012 2011
Total account assets$8,025,010,000$7,524,005,000$4,391,404,000
Fee-based assets$1,147,000,000$938,890,000$1,028,000,000
Total account assets: Other$6,878,010,000$6,585,115,000$3,363,404,000
Average assets per rep$23,672,596$22,526,961$11,556,326
2013 2012 2011
Excess net capital$1,926,638$3,344,144$2,385,610
Total operating expenses$65,438,278$54,611,982$53,471,033
Pre-tax earnings$-1,140,410$1,184,429$1,216,970
Number of active client accounts90,50057,50046,000
CEOThomas J. Berthel
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?N
Primary purpose of mobile application
    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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