# AVANTAX ADVISORY SERVICES, INC.

AVANTAX ADVISORY SERVICES, INC. of DALLAS, TX is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 104556
- Type: SEC-registered investment adviser
- SEC file number: 801-29892
- Location: 3200 OLYMPUS BLVD, SUITE 100, DALLAS, TX, 75019
- Phone: 972-870-6000
- Latest filing: 2025-03-31
- Regulatory AUM: $46.1B
- Discretionary AUM: $38.1B
- Non-discretionary AUM: $8.0B
- Clients: 2,278
- Accounts: 140,306

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (58)

_Showing 25 of 58 people._

| Name | Role | Location |
| --- | --- | --- |
| Joseph Daniel Neary | DIRECTOR/VICE PRESIDENT | — |
| Lisa Anne Gok | DIRECTOR/CO-SECRETARY | — |
| Allan Keith Shores | CO-TREASURER | — |
| David James Van Havermaat | ASSISTANT SECRETARY | — |
| Winnie Ai-Ling Lee | ASSISTANT SECRETARY | — |
| Tamas Vays | ASST. SECRETARY | — |
| Todd Christopher Mackay | VICE PRESIDENT | — |
| Matthew Gregory Bregozzo | CHIEF COMPLIANCE OFFICER | — |
| Andrew David Watts | PRESIDENT & CO-SECRETARY | — |
| Matthew Neil Kalani Fries | VICE PRESIDENT | — |
| Thomas Gooley | DIRECTOR | — |
| Gary Lynn Chaffin | TAX OFFICER | — |
| Jeremy Scott Carr | ASST. SECRETARY | — |
| GOK LISA ANNE | CO-SECRETARY | — |
| OCHS ROGER CARLTON | PRESIDENT; PRESIDENT & SECRETARY; PRESIDENT/SECRETARY (+1 more) | — |
| SMITH ROBIN LESLEY | SR PORTFOLIO MANAGER | — |
| BENNETT JOEL VAN | CHIEF FINANCIAL OFFICER; TREASURER; TREASURER/DIRECTOR | — |
| HEIFETZ NEAL EDWARD | ASSISTANT SECRETARY; ASSISTANT SECRETARY/DIRECTOR | — |
| KLEIN JEFFREY JOEL | ASSISTANT SECRETARY | — |
| JOHNSON JOHN SCOTT | CHIEF COMPLIANCE OFFICER | — |
| STERN BRIAN A | ASSISTANT SECRETARY | — |
| SMITH MARK GARRETT | REGULATORY COMPLIANCE | — |
| VASQUEZ ENRIQUE MARTIN | PRESIDENT/SECRETARY | — |
| JORDAAN JACO | SENIOR PORTFOLIO MANAGER | — |
| IGNACE KEITH THOMAS | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (9)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-12-20 | regulatory | ON DECEMBER 20, 2021, AVANTAX ADVISORY SERVICES, INC. ("AVANTAX") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") IN CONNECTION WITH THE SEC'S FINDINGS THAT 1ST GLOBAL ADVISORS, INC. ("1ST GLOBAL"), A FIRM THAT HAD BEEN ACQUIRED AND MERGED INTO AVANTAX IN 2019, HAD NOT… | Final | $2.0M |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |


## Branch offices (25)

_Showing 15 of 25 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| MOUNT ARLINGTON | NJ | 27 | (973) 328-1825 |
| LAFAYETTE | LA | 24 | (337) 237-0112 |
| ROCHESTER | NY | 16 | (585) 454-4161 |
| FORT SMITH | AR | 16 | (479) 484-5173 |
| BUFFALO | NY | 13 | (716) 856-3300 |
| WENATCHEE | WA | 13 | (509) 888-0430 |
| ORLAND PARK | IL | 11 | (708) 724-3478 |
| EUGENE | OR | 11 | (541) 687-2320 |
| ATLANTA | GA | 11 | (404) 267-1358 |
| ELK GROVE VILLAGE | IL | 11 | (847) 956-1040 |
| PLYMOUTH | MN | 10 | 7634048660 |
| CAMPBELL | CA | 9 | (408) 288-5111 |
| PARSIPPANY | NJ | 9 | 973-299-0444 |
| SPRINGFIELD | IL | 9 | (217) 525-1111 |
| LAKEWOOD RANCH | FL | 8 | 941-500-5122 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104556/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104556/similar
- Related entities: https://search.stillhousedata.com/firm/104556/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104556

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.