Brokers International Financial Services, LLC (Urbandale)


Brokers International Financial Services, LLC is a large advisory firm based in Urbandale. It manages $519.76 million of regulatory assets for 4,292 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Brokers International Financial Services provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Brokers International Financial Services: assets under management

The assets under management (AUM) of Brokers International Financial Services, LLC is $519.76 million. The firm's AUM has grown by 228% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $326.89 million in discretionary accounts and $192.86 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $111.04 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $143.07 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 66% of the total AUM. The second-largest asset type is investment and business development companies, which make up 33% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Brokers International Financial Services, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Brian Clinton Propes serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Brian Clinton Propes is individuals with 4,275 clients and $483.44 million of assets under management. Among the 11 most similar advisory firms, Brokers International Financial Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $516.25 million for 4,292 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Brokers International Financial Services doesn't advise any private funds.

Careers at Brokers International Financial Services, LLC

The company employs 214 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. 123 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brian Clinton Propes has been acting as President since 1 Nov 2013. Andrew Allen Osby has served as the Chief Investment Officer since 1 Dec 2017. Belma Mujdzic joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ltd. Brokers International Member/shareholder 1 Nov 2005 75% - 100% 42-1427068
Jody Ann Babcock Financial operations principal 1 Jun 2007 Other 5289642
Matthew Ray Bott President/chief operations officer 1 Sep 2008 Other 2521201
Gary Alan Stapp Chief compliance officer 1 Sep 2008 Other 1625457
Andrea K Kemble Chief financial officer 1 Mar 2009 Other 5533991
Gary Alan Stapp Chief marketing officer 1 Nov 2011 Other 1625457
Ann Louise Hudson Chief compliance officer 1 Nov 2011 Other 2475676
John Charles Kunkel Chief compliance officer 1 Oct 2013 Other 2887314
Brian Clinton Propes President/chief marketing officer 1 Nov 2013 Other 1174493
Brian Edward Aukes Chief compliance officer 1 Dec 2013 Other 2712193
Brian Edward Aukes President 1 Jun 2016 Other 2712193
John Charles Kunkel Chief compliance officer 1 Jun 2016 Other 2887314
David Alan Henry Finop 1 Jun 2016 Other 5981084
Andrea K Kemble Chief financial officer/finop 1 Aug 2016 Other 5533991
Belma Mujdzic Chief compliance officer 1 Oct 2017 Other 4629710
Andrew Allen Osby Chief investment officer 1 Dec 2017 Other 4202621

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Roger Mccarty Revocable Trust Shareholder 1 Jun 1983 75% - 100% 52-2521029
Roger Hornsby Mccarty Trustee 1 Jun 1983 Other 5116444
Roger Mccarty Revocable Trust Shareholder 1 Aug 1997 50% - 75% 45-6596524
Jane Mccarty Revocable Trust Shareholder 1 Feb 2004 25% - 50% 00-0000000
Jane Lindsey Mccarty Trustee 1 Feb 2004 Other xxx-xx-xxxx
Jane Lindsey Mccarty Trustee 1 Feb 2012 Other xxx-xx-xxxx

Based in Urbandale

The principal office where Brokers International Financial Services, LLC performs its advisory services is located at 4135 Nw Urbandale Dr, Urbandale, IA 50322, which is also the mailing address of the firm. An additional office of the firm is in American Fork, UT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 877-886-1939 or by fax 800-541-7986. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at brokersifs.com.