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Robert B. Ausdal & Co. Inc. (Davenport)


Robert B. Ausdal & Co. Inc. is a large advisory firm based in Davenport. It manages $32.29 million of regulatory assets for 231 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Florida, Illinois, and 4 other states.

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Robert B. Ausdal & provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting services, and security ratings or pricing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Robert B. Ausdal &: assets under management

The assets under management (AUM) of Robert B. Ausdal & Co. Inc. is $32.29 million. The company doesn't manage any assets belonging to foreign clients.


The firm manages $16.3 million in discretionary accounts and $15.99 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $94.74 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $271.02 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Robert B. Ausdal & Co. Inc. 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.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Dean G. Oakes Unitholder 1 Jan 2008 25% - 50% xxx-xx-xxxx
Michael E. Hodge Unitholder, manager 1 Jan 2008 50% - 75% xxx-xx-xxxx

Based in Davenport

The principal office where Robert B. Ausdal & Co. Inc. performs its advisory services is located at 220 North Main Street, Davenport, IA 52801, which is also the mailing address of the firm. An additional office of the firm is in Port Byron, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 563-326-2064 or by fax 563-326-2159. The normal business hours are 0830 to 1630 on Monday - Friday. You can find more information about the New York firm at www.ausdal.com.


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