Chief Compliance Officer · BFC Planning, Inc.
Kimberly Karen Early Chapman
CRD 2527036 · Named on Form ADV at 2 SEC-registered advisers
At a glance
BFC Planning, Inc., an SEC-registered wealth manager based in Cedar Rapids, IA with $3.8 billion in regulatory assets, lists Kimberly Karen Early Chapman on its Form ADV as Chief Compliance Officer. The SEC filings also name Kimberly at 1 other registered adviser.
Firms and roles
- BFC Planning, Inc.Chief Compliance OfficerWealth manager · Cedar Rapids, IA · $3.8B in regulatory assets
- Berthel Fisher & Company Financial Services, Inc.Chief Compliance OfficerBroker-dealer firm · Cedar Rapids, IA · $906M in regulatory assets
AtlasMembers
Kimberly’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
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Colleagues named on the same filings (12)
- Thomas Joseph BerthelChairman of Board, BFC Planning, Inc.
- Randy Austin WilcoxVP Compliance/osj Manager, BFC Planning, Inc.
- Joanna Marie SchaulSecretary, BFC Planning, Inc.
- Andrew James ChristoffersonChief Executive Officer/president, BFC Planning, Inc.
- Brian RuppVice President/controller/treasurer, BFC Planning, Inc.
7 more people named with Kimberly on the same filings, with titles and firms. Free in Atlas with a free account.
See all 12 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kimberly’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.