{"url":"https://nivawealth.com/firms/bradford-financial-center-110953","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110953","regulatoryAum":229709395,"crd":"110953","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7287622","suffix":null,"lastName":"DeWall","firstName":"Carlton","middleName":"Herman"},{"crd":"2728254","suffix":null,"lastName":"MOORE","firstName":"JEROME","middleName":"BARBER"},{"crd":"5361624","suffix":null,"lastName":"PICKARD","firstName":"LARRY","middleName":"LEE"},{"crd":"2074926","suffix":null,"lastName":"SCHIMP","firstName":"MARTY","middleName":"WILLIAM"},{"crd":"6739619","suffix":null,"lastName":"STANTON","firstName":"DAVID","middleName":null},{"crd":"442956","suffix":null,"lastName":"TAUSZ","firstName":"JAMES","middleName":"WILLIAM"},{"crd":"5207833","suffix":null,"lastName":"WALKER","firstName":"BRANDON","middleName":"REW"},{"crd":"4364513","suffix":null,"lastName":"WEIS","firstName":"SHALLON","middleName":"JEAN"}],"total":8,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-26","regulatoryAum":187382213,"clients":1530,"employees":17,"offices":4},{"filedOn":"2022-03-30","regulatoryAum":207565911,"clients":1676,"employees":17,"offices":4},{"filedOn":"2023-03-30","regulatoryAum":186889866,"clients":721,"employees":21,"offices":4},{"filedOn":"2024-03-13","regulatoryAum":209761439,"clients":747,"employees":20,"offices":4},{"filedOn":"2025-03-20","regulatoryAum":232332172,"clients":767,"employees":26,"offices":5},{"filedOn":"2026-03-26","regulatoryAum":229709395,"clients":710,"employees":26,"offices":4}],"secFileNumber":"801-68117","legalName":"Bradford Financial Center","displayName":"Bradford Financial Center","slug":"bradford-financial-center-110953","website":"https://bradfordfinancialcenter.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/bradford-financial-center","founded":null,"organization":"Iowa limited liability company","fiscalYearEnd":"December","headquarters":{"street":"119 Central Ave W","city":"Clarion","state":"IA","stateName":"Iowa","country":"United States","postalCode":"50525"},"tradeNames":[],"registration":{"secApproved":"23 July 2007","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":325187.2045779685,"staff":{"employees":26,"advisory":14,"brokerDealerReps":7,"insuranceAgents":6,"promoters":1},"aum":{"regulatory":229709395,"discretionary":229709395,"discretionaryAccounts":1478,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":597,"regulatoryAum":167007648},{"label":"High-net-worth individuals","clients":102,"regulatoryAum":60298208},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":507612},{"label":"Corporations and other businesses","clients":11,"regulatoryAum":1895927}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"Financial planning is billed hourly at $100 to $500, depending on the work needed, with a maximum fee set when the contract is signed.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027827","versionId":1027827,"submittedOn":"2026-03-26","documentName":"BRADFORD ADV 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:08:42.296812+00:00","documents":[{"name":"BRADFORD ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027827","versionId":1027827,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":229107065}],"custodyNote":"Bradford Financial Center has custody of $110M for 370 clients.","otherCustodians":[],"leadership":[{"name":"James Tausz","title":"Chief Executive Officer, Chief Financial Officer, Chief Compliance Officer, and Director","crd":"442956"}],"ownership":[{"label":"James Tausz","detail":"Chief executive officer, chief financial officer, chief compliance officer, and director in the 75% or more ownership band and a control person, since April 1985. Also a president and majority owner of bradford group, inc. of Bradford Group, Inc. in the 50% to 75% band and a control person, since April 1985."},{"label":"Bradford Group, Inc.","detail":"100% owner of bradford financial center in the 75% or more ownership band and a control person, since February 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Iowa","offices":3,"addresses":[{"street":"119 Central Ave W","city":"Clarion","headquarters":true},{"street":"180 E 5th Street","city":"Garner"},{"street":"102 E. Iowa Avenue","city":"Gilmore City"}]},{"state":"Tennessee","offices":1,"addresses":[{"street":"205 Powell Place","city":"Brentwood"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"515-532-6661","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110953/PDF/110953.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027827","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Bradford Financial Center have?","answer":"Bradford Financial Center has 710 clients and manages $230 million for them, as of March 2026. They include 597 individual clients, 102 high-net-worth individuals, and 11 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bradford Financial Center offer?","answer":"Bradford Financial Center provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Bradford Financial Center use?","answer":"Bradford Financial Center’s separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $229M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Bradford Financial Center have?","answer":"Bradford Financial Center has 6 investment adviser representatives registered with state securities authorities, out of 26 employees, and 14 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Bradford Financial Center invest in?","answer":"At the end of its last fiscal year, Bradford Financial Center’s separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 36% exchange-traded equities and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Bradford Financial Center?","answer":"Bradford Financial Center’s direct owners are James Tausz (75% or more) and Bradford Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bradford Financial Center get paid?","answer":"Bradford Financial Center is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Bradford Financial Center?","answer":"Bradford Financial Center’s main office is at 119 Central Ave W, Clarion, IA 50525. Its phone number is 515-532-6661. Its website is bradfordfinancialcenter.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}