SourcingSourcing

NATIONS FINANCIAL GROUP, INC.

C43
CRD 44181·SEC 801-57407·CEDAR RAPIDS, IA
AUM
$4.77B
$1B+
Est. Revenue
$47.7M
@ 1% on AUM
Est. EBITDA
$14.3M
@ 30% margin
Est. Deal Value
$114.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NATIONS FINANCIAL GROUP, INC.
CRD
44181
SEC file #
801-57407
EIN
391909295
DBA names
—

Economics

AUM
$4.77B
AUM band
$1B+
AUM trajectory
'20'26
$1.03B → $4.77B▲ +363%
Client mix
Individuals Other3,900
Individuals High Net Worth1,625
Charitable Organizations16
Pension Profit Sharing Plans14
Corporations14

Operations

Employees (total)
94
Advisory staff (per ADV)
81
Advisory staff (5-yr trend)
'20'26
57 advisors → 81 advisors▲ +42%
Primary office
CEDAR RAPIDS IA
Branches
—

Custodian & Brokerage

Primary custodian
Wells Fargolow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/18/2026
ADV-W filed at
—
Website
nationsfg.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NFGI HOLDING CORPORATION
Top Owner Pct
87.5
Owner Count
6
Control Persons
NFGI HOLDING CORPORATION
BENNETT, RICHARD SCOTT
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NATIONSFG.COM
Rdap Domain Creation Date
1997-11-18T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
186,944
Form 5500 Compensation Trajectory 3y
2025186,944
Form 5500 Plan Count Trajectory 3y
20253
Schedule C Total Compensation
186,944
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Cik
0001109767
Edgar Registered
Yes
Edgar Filing Count
46
Edgar First Filing Date
2016-02-12
Edgar Last Filing Date
2026-04-15
Edgar 13f Count
44
Edgar 13f Latest AUM Estimate
Filing Date2026-04-15
Accession0001109767-26-000007

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.5337
Soi Zip Pct 200k Plus
0.2409
Soi Zip Returns 200k Plus
930
Soi Zip Total AGI
679,885
Fdic Zip Total Deposits
818,491,000
Fdic Zip Branch Count
28
Fdic Zip Top Banks
Bank of the West
Bank of The West

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
47
Bc Firm IAR Count
50
Custodian Candidates
Full
Wells Fargo9
E*trade4
Edgar Addresses
Mailing
3925 FOUNTAINS BLVD NESUITE 200CEDAR RAPIDS, IA 52411
Business
3925 FOUNTAINS BLVD NESUITE 200CEDAR RAPIDS, IA 52411
Edgar EIN
391909295
Edgar Recent Filings
13F-HR2026-04-15 · 0001109767-26-000007
13F-HR2026-01-26 · 0001109767-26-000002
Fdic Zip Branches Raw
Perpetual Savings Bank, FSBCedar Rapids, IA
Perpetual Savings Bank, FSBCedar Rapids, IA
Fdic Zip HHI
3213.18
Fdic Zip Top Bank Share Pct
50.37
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-11-17T05:00:00Z
Rdap Domain Last Changed
2022-10-15T12:21:25Z
Rdap Nameservers
Ns77.domaincontrol.comNs78.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI8,100
Returns750
Stub 2
AGI14,122
Returns380
Stub 3
AGI20,139
Returns320
Soi Zip Total Business Income
13,636
Soi Zip Total Cap Gains
38,489
Soi Zip Total Dividends
19,611
Soi Zip Total Returns
3,860
Trust Company Affiliate
No

People (51)

51
TRACEY LYNN KROUSIE
IAR · Executive Officer · 2.5%
4475482
RICHARD SCOTT BENNETT
IAR · Executive Officer · 2.5%
858716
STEPHEN MICHAEL CAIRNEY
IAR · Executive Officer · 2.5%
3085019
ERIK JOHN BJORSETH
IAR · Executive Officer · 2.5%
4404352
VICKI LIN REIGHARD-KEAN
Executive Officer · 2.5%
4238486
ANGELA MILLER ROTH
IAR
3260882
RYAN RICHARD RUFFCORN
IAR
4268380
LESLIE DANIEL MILLER
IAR
5305302
JORDAN PAUL BENNETT
IAR
5766735
MATTHEW WILLIAM MILITO
IAR
6832805
RACHEL ANN WEHRHEIM
IAR
4752692
MATTHEW BRENT VAWTER
IAR
2438987
AARON TANK
IAR
6466385
ROBERT CHARLES SEAMANS
IAR
3059615
Joseph R Schuessler
IAR
7914232
LISA LYNN PRESTON
IAR
1784656
ROSS EUGENE DEVALOIS
IAR
1041195
KYLE DAVID WINTER
IAR
4600204
EDWARD RISSELL MUNCH
IAR
6540120
JAMIE WILLIAM MCDONALD
IAR
4419754
STEVEN MARK LOESCH
IAR
2489984
ANDREW KARBAN
IAR
7504716
Heather Michelle Cox
IAR
7713127
JENNIFER ANNE BASINGER
IAR
5209198
GREGORY STIMSON WOLFE
IAR
836618
LARRY WAYNE KARBAN
IAR
1240170
MICHELLE ANNE BLENDERMAN
IAR
4596249
JOSEPH CONSTANTINE BERNARDI
IAR
1220670
WILLIAM EDWARD SHEPARD
IAR
1193984
WYATT KELLY
IAR
7499363
Max Whittaker
IAR
7876798
WILLIAM EDWARD COAN
IAR
1549487
NATHANAEL J PFEIL
IAR
7704524
DEBORAH KAY JOHNSON
IAR
1370760
ROBERT EVANS RUSSELL
IAR
1890854
EUGENE VINCENT WEHRHEIM
IAR
1694415
MARTHA SHEPARD MCCURRY
IAR
2196071
RYAN SCOTT TOMKINSON
IAR
5158180
Andrew Sadler
IAR
8060069
BRIAN GRAY STEIN
IAR
4117327
DAVID ALFRED BASINGER
IAR
4037184
Craig M Schlueter
IAR
5777769
ROBERT EMMETT LEE
IAR
1413943
BRADLEY PAUL ZWANZIGER
IAR
3256556
MAX LOUIS CONDE
IAR
2894397
ROBERT CHARLES BATTIN
IAR
1613817
EUGENE VINCENT WEHRHEIM
IAR
4121536
THOMAS GEORGE BRENNAN
IAR
2237677
MARK ALAN GEERTSMA
IAR
1743576
WILLIAM OTTO MOORE
IAR
3258697
ROCHELLE MARIE HENRY ERNBERGER
IAR
2239740