# AVANTAX PLANNING PARTNERS, INC.

AVANTAX PLANNING PARTNERS, INC. of DUBUQUE, IA is an SEC-registered investment adviser.

## Registration

- CRD: 106237
- Type: SEC-registered investment adviser
- SEC file number: 801-50939
- Location: 210 JONES ST, STE. 104, DUBUQUE, IA, 52001
- Phone: 563-582-2855
- Latest filing: 2026-06-18
- Regulatory AUM: $7.6B
- Discretionary AUM: $7.6B
- Non-discretionary AUM: $5.3M
- Clients: 261
- Accounts: 13,797

## Business model

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

## Officers, owners & control persons (65)

_Showing 25 of 65 people._

| Name | Role | Location |
| --- | --- | --- |
| Jeffrey Robert Buchheister | VICE PRESIDENT | — |
| Joseph Daniel Neary | DIRECTOR/VICE PRESIDENT | — |
| Lisa Anne Gok | DIRECTOR/CO-SECRETARY; DIRECTOR/SECRETARY | — |
| Allan Keith Shores | CO-TREASURER; TREASURER | — |
| David James Van Havermaat | ASST. SECRETARY | — |
| Winnie Ai-Ling Lee | ASST. SECRETARY | — |
| Tamas Vays | ASST. SECRETARY | — |
| Serge Budevich | VICE PRESIDENT & TAX OFFICER | — |
| Todd Christopher Mackay | VICE PRESIDENT | — |
| Louie Alan Rosalez | SR. VICE PRESIDENT | — |
| Jason Jeffrey Allen | VICE PRESIDENT | — |
| Matthew Gregory Bregozzo | CHIEF COMPLIANCE OFFICER | — |
| Andrew David Watts | PRESIDENT | — |
| Matthew Neil Kalani Fries | VICE PRESIDENT | — |
| Thomas Gooley | DIRECTOR | — |
| Michael James Molnar | VICE PRESIDENT | — |
| Jennifer Leigh Hanau | VICE PRESIDENT | — |
| Gary Lynn Chaffin | TAX OFFICER; TAX OFFICER/VICE PRESIDENT | — |
| Jeremy Scott Carr | ASST. SECRETARY | — |
| GOK LISA ANNE | CO-SECRETARY | — |
| DARRAH JOHN ROBERT | CHAIRMAN/CEO/DIRECTOR; CHIEF COMPLIANCE OFFICER / SECRETARY; CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER (+5 more) | — |
| HERRIG JAMES WILFRED | SECRETARY / CHIEF COMPLIANCE OFFICER; SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR; SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP (+2 more) | — |
| HELLE RONALD FRANCIS | DIRECTOR; SHAREHOLDER | — |
| BURBACH GREGORY CARL | DIRECTOR; SHAREHOLDER; SHAREHOLDER / TREASURER | — |
| MCQUILLEN ROBERT REYNOLD | DIRECTOR; SHAREHOLDER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | criminal | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/106237/brochure
- Similar advisers: https://search.stillhousedata.com/firm/106237/similar
- Related entities: https://search.stillhousedata.com/firm/106237/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/106237

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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.