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Top 4 financial advisor firms in Dubuque

4 SEC-registered financial advisor firms are headquartered in Dubuque, IA, with $4.43B in combined regulatory assets under management. The largest by assets are Steele Capital Management ($3.55B), Friday Financial ($409M) and Weitzel Financial Services ($328M).

4
Financial advisor firms
$4.43B
Their combined AUM
$369M
Median firm AUM
4,325
Clients of the top 4

The 4 largest by assets

  1. 1
    Steele Capital Management

    RIA

    $3.55B

  2. 2
    Friday Financial

    RIA

    $409M

  3. 3
    Weitzel Financial Services

    RIA

    $328M

  4. 4
    Guncheon Financial

    RIA

    $146M

Profiles of the top 4

No. 1 · RIA

Steele Capital Management

Steele Capital Management is an investment adviser based in Dubuque, IA, registered with the SEC since 1995. It provides financial planning and investment management. Its clients include high-net-worth individuals, pension and profit-sharing plans, and individual clients. Its regulatory assets under management total $3.55 billion, as filed on 26 August 2026.

Steele Capital Management charges up to 1.50% a year for its Individual advisory services.

Regulatory AUM
$3.55B
Clients
1,644
Advisory staff
13
Fee schedule
Up to 1.50% a year
Custodians
Charles Schwab, Charles Schwab
Headquarters
1000 Jackson Street, Suite 201, Dubuque, IA 52001
Phone
563-588-2097

No. 2 · RIA

Friday Financial

Friday Financial is an investment adviser based in Dubuque, IA, registered with the SEC since 2024. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $409 million, as filed on 5 August 2026.

Friday Financial charges 0.50%–1.25% a year for its Investment Management Services.

Regulatory AUM
$409M
Clients
289
Advisory staff
6
Founded
2024
Fee schedule
0.50% to 1.25% a year
Minimum account
$250,000
Custodians
Charles Schwab
Headquarters
600 Star Brewery Drive, Suite 400, Dubuque, IA 52001
Phone
563-552-7526
Website
fridayfinancial.com

No. 3 · RIA

Weitzel Financial Services

Weitzel Financial Services is an investment adviser based in Dubuque, IA, registered with the SEC since 2020. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $328 million, as filed on 24 September 2026.

Regulatory AUM
$328M
Clients
1,134
Advisory staff
4
Custodians
Charles Schwab
Headquarters
1200 Cedar Cross RD, Dubuque, IA 52003
Phone
563-583-6020
Website
weitzelfinancial.com

No. 4 · RIA

Guncheon Financial

Guncheon Financial is an investment adviser based in Dubuque, IA, registered with the SEC since 2024. It provides financial planning and investment management. Its clients include individual clients, high-net-worth individuals and charitable organizations. Its regulatory assets under management total $146 million, as filed on 14 July 2026.

Guncheon Financial charges 0.75%–1.25% a year for its Investment Management Services.

Regulatory AUM
$146M
Clients
1,258
Advisory staff
4
Fee schedule
0.75% to 1.25% a year
Custodians
Wells Fargo Clearing Services, Charles Schwab
Headquarters
1545 Associates Drive, Suite 104, Dubuque, IA 52002
Phone
563-587-7840
Website
thelifegroupllc.com

Questions about financial advisors in Dubuque

How many financial advisor firms are headquartered in Dubuque?

4 SEC-registered financial advisor firms report their principal office in Dubuque, IA, managing $4.43B in regulatory assets between them. The other 1 adviser headquartered in the city are broker-dealers, other kinds of wealth firm, or fund and institutional managers.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Dubuque?

Steele Capital Management, with $3.55B in regulatory assets under management on its latest Form ADV. The next largest are Friday Financial ($409M) and Weitzel Financial Services ($328M).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Dubuque?

The median firm manages $369M in regulatory assets. That is the midpoint of the 4 firms headquartered in Dubuque.

Source: Form ADV Part 1A, Item 5.F

How much do financial advisors in Dubuque charge?

Of the 4 largest firms, 3 publish an asset-based fee schedule for their main service in their brochure. The highest rate in those schedules runs from 1.25% to 1.50% of assets, depending on the firm; each firm's fee is in its profile above.

Source: Form ADV Part 2A brochures, Item 5

How can I check a financial advisor's record in Dubuque?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

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