BD

Brian Thomas Dvorak

12 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
51 advisors
Number of Clients
1,536 clients
Average Client Portfolio
$223K average
Assets Under Management
$343.0M

Fee Structure

Financial Plan Fee:Up to $10,000
Hourly Rate:Up to $300/hr

Portfolio management fees are negotiable and based on the average daily balance of assets, billed monthly in arrears. A portion of the fee is paid to third-party model providers (0.00% to 0.35% annually). There's also an annual $100 administrative and technology fee per account ($8.33/month). Financial planning fees are either fixed (up to $10,000) or hourly (up to $300). Self-directed brokerage account fees are fixed at up to $200/year.

Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInsurance Planning
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Advisor Information

Office location

Kaukauna, WI

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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2009
Other Business ActivitiesSells Insurance

Brian is involved with Dvorak Wealth Management, which is not investment-related, and sells insurance and annuities for commissions. The business is located in Kaukauna, WI.

Employment History
Current Registrations
Iams Wealth Management, LLC
August 2017 - Present · 8 yrs 5 mos
Previous Registrations
USA Financial Securities Corporation
March 2009 - July 2012 · 3 yrs 4 mos
Morgan Stanley & CO. Incorporated
June 2008 - January 2009 · 7 mos
State Registrations3 states
ILMIWI
Advisor
Exams
No exam information available for this advisor.
Brian Thomas Dvorak - Financial Advisor | AdvisorDiscover