Arete Wealth Advisors, Llc
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 145488
· SEC file 801-69827
· Chicago, IL
· WWW.911annuity.com
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ADV data as of Jun 04, 2026
- Regulatory AUM
- $2.7B
- Discretionary
- $2.7B
- Clients
- 5,426
- Avg AUM / client
- $506K
- Accounts
- 5,424
- Employees
- 135
AUM over time
$152M
$3.2B
Nov 2011
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,848 | $522M | 19.0% |
| High net worth individuals | 3,441 | $2.0B | 74.3% |
| Pension and profit sharing plans | 9 | $6.9M | 0.25% |
| Charitable organizations | 12 | $4.5M | 0.16% |
| Corporations and other businesses | 116 | $173M | 6.31% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Scpmg Keogh Plan Southern California Permanente Medical Group | 2024 | |
| Ag Express Electronics, Inc. Safe Harbor 401(k) Profit Sharing Plan Ag Express Electronics, Inc. | 2024 | |
| Vps Employee Stock Ownership Plan Vantage Point Solutions, Inc. | 2024 |
People (142)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joshua Dean Rogers | President | Nov 2007 (19y) | 25% – 50% | |
| David Carl Hock | Managing Member | Oct 2008 (18y) | 25% – 50% of Old Growth Capital, Llc (indirect) | |
| Chung, Unbo | Chief Compliance Officer | Jan 2014 (13y) | Less than 5% | |
| Roshan A Loungani | Registered representative | Mar 2008 (18y) | ||
| Jack Daniel Burk | Registered representative | Jun 2008 (18y) | ||
| David Mar | Registered representative | Mar 2009 (17y) | ||
| Craig Giovanni Bodden | Registered representative | May 2009 (17y) | ||
| Erik Craig Olson | Registered representative | Apr 2010 (16y) | ||
| Edmond James Ducett | Registered representative | Dec 2010 (16y) | ||
| Tucker Kenyon Bixby | Registered representative | Jul 2011 (15y) | ||
| Danielle Mae Vandehaar | Registered representative | Aug 2012 (14y) | ||
| Joshua Eric Cross | Registered representative | Sep 2012 (14y) | ||
| Paul Hunt Espey | Registered representative | CFP | Sep 2012 (14y) | |
| Andrew David Kleis | Registered representative | Sep 2012 (14y) | ||
| Andrew Dorr | Registered representative | Sep 2012 (14y) | ||
| Benjamin L Morrow | Registered representative | CFP | Sep 2012 (14y) | |
| Todd Christopher Doorenbos | Registered representative | Feb 2013 (13y) | ||
| Avi J Bialo | Registered representative | Jun 2013 (13y) | ||
| Brenton William Collins | Registered representative | Sep 2014 (12y) | ||
| Dennis Patrick Thurman | Registered representative | Mar 2016 (10y) | ||
| Adam Anthony Weingartner | Registered representative | Feb 2017 (9y) | ||
| Bradford Stuart Webb | Registered representative | Feb 2017 (9y) | ||
| Germaine Louise Broussard | Registered representative | Apr 2017 (9y) | ||
| Robert Allyn Fratkin | Registered representative | Apr 2017 (9y) | ||
| Daniel Clinton Smith | Registered representative | Personal Financial Specialist | Sep 2018 (8y) | |
| Hamilton Perkins Bouchelle Poynor | Registered representative | Nov 2018 (8y) | ||
| Matthew Edward Roberson | Registered representative | CFP | May 2019 (7y) | |
| Daniel Lozano Diaz | Registered representative | Aug 2019 (7y) | ||
| Robert Boris Geller | Registered representative | Mar 2020 (6y) | ||
| Jason Christopher Knapp | Registered representative | Sep 2020 (6y) | ||
| Daniel Charles Southworth | Registered representative | Oct 2020 (6y) | ||
| Nicholas Gregg Boetjer | Registered representative | Jan 2021 (6y) | ||
| Adrian Kahlil Nicholson | Registered representative | Jan 2021 (6y) | ||
| Joseph Everett Mc Kinley | Registered representative | Jan 2022 (5y) | ||
| Abhishek Umesh Sheth | Registered representative | Jul 2022 (4y) | ||
| Dianne Marie Larson | Registered representative | Jul 2022 (4y) | ||
| Jeb Roger Kirkpatrick | Registered representative | Jul 2022 (4y) | ||
| Michael Andrew Black | Registered representative | Jul 2022 (4y) | ||
| Peter Elliot Marshall | Registered representative | Jul 2022 (4y) | ||
| Robert Abramowitz | Registered representative | Jul 2022 (4y) | ||
| Christopher Edward Bond | Registered representative | Jul 2022 (4y) | ||
| Christopher Michael Ortiz | Registered representative | Jul 2022 (4y) | ||
| Edward Francis Patrick | Registered representative | Jul 2022 (4y) | ||
| James C Culp | Registered representative | Jul 2022 (4y) | ||
| John Robert Burnham | Registered representative | Jul 2022 (4y) | ||
| Joseph A Gileno | Registered representative | Jul 2022 (4y) | ||
| Kenneth Gregory Bonal | Registered representative | Jul 2022 (4y) | ||
| Mark Everett Schrader | Registered representative | Jul 2022 (4y) | ||
| Michael Anthony Tretola | Registered representative | Jul 2022 (4y) | ||
| Michael Roy Blueweiss | Registered representative | Jul 2022 (4y) | ||
| Richard Spatola | Registered representative | Jul 2022 (4y) | ||
| Ronald Harris Rothchild | Registered representative | Jul 2022 (4y) | ||
| Ronan David Cox | Registered representative | Jul 2022 (4y) | ||
| Scott Lawrence Cantor | Registered representative | Jul 2022 (4y) | ||
| Stanley Jay Goldring | Registered representative | Jul 2022 (4y) | ||
| Merlin Earl Ames | Registered representative | Jul 2022 (4y) | ||
| Mark Darren Cohen | Registered representative | Jul 2022 (4y) | ||
| James Kevin Johnston | Registered representative | Jan 2023 (4y) | ||
| Jonathan Robert Fratesi | Registered representative | Jan 2023 (4y) | ||
| David Leon Lynn | Registered representative | Jan 2023 (4y) | ||
| David Charles Levine | Registered representative | Jan 2023 (4y) | ||
| Brandon William Murphy | Registered representative | Jan 2023 (4y) | ||
| Anthony Michael Hanley | Registered representative | Jan 2023 (4y) | ||
| Damany Eric Henry | Registered representative | Mar 2023 (3y) | ||
| Kelsey Andrea Narish | Registered representative | CFP | Mar 2023 (3y) | |
| Kevin James Leblanc | Registered representative | Mar 2023 (3y) | ||
| Matthew David Canter | Registered representative | Mar 2023 (3y) | ||
| Morgan Darby Hill | Registered representative | Mar 2023 (3y) | ||
| Scott Eric Beaty | Registered representative | Apr 2023 (3y) | ||
| Charles Gregory Majors | Registered representative | Apr 2023 (3y) | ||
| David Lee Roberts | Registered representative | Apr 2023 (3y) | ||
| Kristen Kay Crouthamel | Registered representative | Jun 2023 (3y) | ||
| Tiffany Coyle Noto | Registered representative | Jun 2023 (3y) | ||
| Paul Clayton Conner | Registered representative | Jun 2023 (3y) | ||
| Steven Harman Mogul | Registered representative | Jun 2023 (3y) | ||
| Mary Murphy | Registered representative | Jun 2023 (3y) | ||
| Rachel Joy Baker | Registered representative | Aug 2023 (3y) | ||
| Kenneth James New | Registered representative | Oct 2023 (3y) | ||
| Alex Perez Andrade | Registered representative | Oct 2023 (3y) | ||
| Isaiah Aponte | Registered representative | Nov 2023 (3y) | ||
| Karim William Salazar Antoni | Registered representative | Nov 2023 (3y) | ||
| Leslie Moise | Registered representative | Dec 2023 (3y) | ||
| Tsewang Nyendak | Registered representative | Jan 2024 (3y) | ||
| David Hua | Registered representative | Jan 2024 (3y) | ||
| Widmayer Clinton Jacques | Registered representative | Feb 2024 (2y) | ||
| Michael Robert Dandrea | Registered representative | Feb 2024 (2y) | ||
| James David Kelin | Registered representative | Mar 2024 (2y) | ||
| Adam Presney Gonzalez | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Wright | Registered representative | CFP | Apr 2024 (2y) | |
| Brandon De Otaduy Nam | Registered representative | May 2024 (2y) | ||
| Christopher Jay Kuipers | Registered representative | Jun 2024 (2y) | ||
| Nathanael Mannone | Registered representative | Jun 2024 (2y) | ||
| Kristi O Quin Pool | Registered representative | Jul 2024 (2y) | ||
| Young Choi | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Anthony James Hunt | Registered representative | Sep 2024 (2y) | ||
| Beau Hillger | Registered representative | Oct 2024 (2y) | ||
| Laura Caroline Emery | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Andrew Brower | Registered representative | Nov 2024 (2y) | ||
| Daniel A Claps | Registered representative | Nov 2024 (2y) | ||
| Juan Felipe Matallana | Registered representative | Nov 2024 (2y) | ||
| Terron Tidwell | Registered representative | Nov 2024 (2y) | ||
| Graham Falbo | Registered representative | CFP | Nov 2024 (2y) | |
| James Mota | Registered representative | CFP | Nov 2024 (2y) | |
| Miao Ling Guan | Registered representative | Dec 2024 (2y) | ||
| Shih Hua Liu | Registered representative | Dec 2024 (2y) | ||
| Victoria Pantaleo | Registered representative | Dec 2024 (2y) | ||
| Kinta Mack Smith | Registered representative | CFP | Jan 2025 (2y) | |
| Cameron Peter Natour | Registered representative | Jan 2025 (2y) | ||
| Omar Rajjoub | Registered representative | Jan 2025 (2y) | ||
| Dastin Mirjaya Mudijana | Registered representative | Feb 2025 (1y) | ||
| Andre Philippe Guerin | Registered representative | Apr 2025 (1y) | ||
| Joseph Frederick Godchaux | Registered representative | Apr 2025 (1y) | ||
| James Matthew Devary | Registered representative | Jun 2025 (1y) | ||
| Samantha Ann Crank | Registered representative | Jul 2025 (1y) | ||
| Philip Mark Martini | Registered representative | Jul 2025 (1y) | ||
| David Taylor Iii | Registered representative | Jul 2025 (1y) | ||
| Matthew Robert Parker | Registered representative | Jul 2025 (1y) | ||
| Henry James Zhai | Registered representative | Oct 2025 (1y) | ||
| Bryson Scott Walker | Registered representative | Nov 2025 (1y) | ||
| Benjamin Robert Carlson | Registered representative | Dec 2025 (1y) | ||
| Katelyn Della Porta | Registered representative | Dec 2025 (1y) | ||
| Richard Raymond Brown | Registered representative | Dec 2025 (1y) | ||
| Mariana Vega Ortega | Registered representative | Dec 2025 (1y) | ||
| Brent James Franklin | Registered representative | Jan 2026 (1y) | ||
| David Alexander Narish | Registered representative | Jan 2026 (1y) | ||
| Anthony John Santarpia | Registered representative | Jan 2026 (1y) | ||
| Andrew Steven Mack | Registered representative | Jan 2026 (1y) | ||
| Riley Francis | Registered representative | Jan 2026 (1y) | ||
| Christopher Michael Fehr | Registered representative | Feb 2026 (0y) | ||
| Benjamin James Weber | Registered representative | Mar 2026 (0y) | ||
| Timothy Mark Pelan | Registered representative | Mar 2026 (0y) | ||
| Joseph Ryan Cutler | Registered representative | Mar 2026 (0y) | ||
| Rebecca Lee Jin | Registered representative | Mar 2026 (0y) | ||
| Emiliano Avalos Paiz | Registered representative | Mar 2026 (0y) | ||
| Graham Spencer Blackburn | Registered representative | Apr 2026 (0y) | ||
| Dale R Rippo | Registered representative | May 2026 (0y) | ||
| John Benjamin Nelson | Registered representative | May 2026 (0y) | ||
| Jay Sailesh Sheth | Registered representative | Jun 2026 (0y) | ||
| Melissa Shaw Patino | Registered representative | Jun 2026 (0y) | ||
| Amadeus Christian Wijatkowski | Registered representative | Jul 2026 (0y) | ||
| Rene Hernandez | Registered representative | Jul 2026 (0y) | ||
| James Keegan | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Arete Wealth Inc. | Managing Member | Jul 2007 | A | 75% or more |
| Arete Wealth Inc. | Managing Member | Nov 2007 | B | ≈ 56.25% – 100% via Arete Wealth Inc. |
| Jdrogers & Company, Llc | Member | Nov 2008 | B | 25% – 50% of Old Growth Capital, Llc (indirect) |
Estimated effective ownership (look-through of filed bands):
- Arete Wealth Inc.: 75% – 100% of Arete Wealth Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Ag Express Electronics, Inc. Safe Harbor 401(k) Profit Sharing Plan | Ag Express Electronics, Inc. | 157 | $8.4M | 01/01/2024 |
| Vps Employee Stock Ownership Plan | Vantage Point Solutions, Inc. | 360 | $37.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 1.52 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
- • Other fees
- • SHARING IN UNDERWRITING FEES FROM AN AFFILIATED BROKER-DEALER
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗