Sarasota, FL Office

Berthel Fisher & Company Financial Services provides investment advisory and financial planning services primarily to individual and high‑net‑worth clients, offering both ongoing asset management and one‑time or ongoing financial planning and consulting. The firm reports managing approximately $906 million in client assets and works with thousands of individual clients through a network of independent investment adviser representatives.

Investment advice is delivered through a range of platforms and delivery models, including discretionary and non‑discretionary management, wrap and non‑wrap programs, Envestnet‑based model solutions (Berthel Edge/Managed Account Solutions), sub‑advisory and third‑party money manager arrangements, and variable annuity sub‑account management; IARs tailor services to client circumstances and may employ concentrated, active trading or tactical strategies when deemed appropriate. Reviews and rebalancing are handled on a client‑by‑client basis, and mutual‑fund share class selection and compliance processes are described in the firm’s disclosure materials.

Compared with many multi‑team firms, Berthel Fisher also operates as a registered broker‑dealer and maintains an affiliated insurance agency, authorizing some IARs to implement recommendations on a commission basis and to sell insurance and annuity products (with potential fee waivers tied to such sales). The firm discloses additional, less common practices—including acting with fund sponsors/illiquid REITs and BDCs, operating a bank deposit sweep program that generates incremental revenue for the firm, and the occasional use of client testimonials in marketing—which create distinct conflicts of interest and are addressed in its disclosures.