Broker-dealer firm · Davenport, IA
Ausdal Financial Partners, Inc.
SEC-registered investment adviser · CRD 7995 · SEC 801-69266
At a glance
Ausdal Financial Partners, Inc. is an SEC-registered investment adviser based in Davenport, Iowa, with $3.7 billion in regulatory assets under management as of its Form ADV filed April 13, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 16,436 individual clients. By Form ADV it is a broker-dealer firm, ranked 102nd of 391 broker-dealer firms and 2,514th of 17,210 SEC-registered advisers by assets.
Main office 563-326-2064ausdal.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.7B
- Rank among broker-dealer firms
- #102 of 391
- Rank among all SEC RIAs
- #2,514 of 17,210
- Rank in Iowa
- #14 of 91
- Individual clients
- 16,436
- High-net-worth clients
- 4,004
- Accounts
- 16,572
- Discretionary
- 93% of AUM
- Employees
- 306
- Advisory staff
- 168
- Offices
- 112
Owners and executives on its Form ADV
- James Jefferson SimpsonShareholder, CEO, Board Member
- Nathan David WestcombChief Compliance Officer
- Ivana M ShumbergFinop
Custody and brokerage
Broker-dealer
Hybrid RIA
Ausdal Financial Partners, Inc. is a hybrid RIA: 283 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed April 2026) names Ausdal Financial Partners as the broker-dealer its advisers are registered with.
As registered representatives of AFP and insurance agents, Representatives and Agents may recommend that a Client purchase or sell investments or insurance products, reallocate existing investments, or take steps to implement a financial pl
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 4,004 | $2.1B | 55% |
| Individuals | 12,432 | $1.6B | 42% |
| Corporations or other businesses | 97 | $83M | 2% |
| Pension and profit sharing plans | 21 | $15M | <1% |
| Charitable organizations | 18 | $5M | <1% |
Disciplinary disclosures
Ausdal Financial Partners, Inc. answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗ausdal.com ↗
AtlasMembers
The full record on Ausdal Financial Partners, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 95 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Ausdal Financial Partners, Inc. manage?
Ausdal Financial Partners, Inc. reports $3.7 billion in regulatory assets under management across 16,572 accounts, 93% of it on a discretionary basis, on its Form ADV filed April 13, 2026.
What kind of firm is Ausdal Financial Partners, Inc.?
Ausdal Financial Partners, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Ausdal Financial Partners, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($2.1 billion, 4,004 clients); individuals ($1.6 billion, 12,432 clients); corporations or other businesses ($83 million, 97 clients).
Does Ausdal Financial Partners, Inc. have any disciplinary history?
Ausdal Financial Partners, Inc. answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Ausdal Financial Partners, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →