{ "crd_number": 110317, "slug": "successful-resource-management-ltd-johnston-ia-110317", "primary_business_name": "SUCCESSFUL RESOURCE MANAGEMENT, LTD.", "legal_name": "SUCCESSFUL RESOURCE MANAGEMENT, LLC", "dbas": [], "city": "Johnston", "state": "IA", "country": "United States", "cbsa_code": "19780", "metro": { "cbsa_code": "19780", "common_name": "Des Moines", "msa_name": "Des Moines-West Des Moines, IA", "path": "/advisors/ia/des-moines" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2009-05-04", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-03-06", "carried_forward": false, "raum_total": 43336162.0, "raum_discretionary": 43336162.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 2, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 13132537.0, "count": 89 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 30203625.0, "count": 22 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "IA", "MO", "TX" ], "websites": [ "https://srmltd.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110317", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "JOHNSTON", "url": "https://advisorcensus.com/firm/successful-resource-management-ltd-johnston-ia-110317", "display_name": "Successful Resource Management, Ltd.", "summary": "Successful Resource Management, Ltd. is a state-registered investment advisory firm in Johnston, IA, registered since 2009, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 6, 2026.", "citation": "AdvisorCensus. Successful Resource Management, Ltd. (CRD 110317): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Successful Resource Management, Ltd. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Successful Resource Management, Ltd. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Successful Resource Management, Ltd. located?", "a": "Successful Resource Management, Ltd.'s principal office is in Johnston, IA, according to its Form ADV." }, { "q": "Is Successful Resource Management, Ltd. registered with the SEC or a state?", "a": "Successful Resource Management, Ltd. is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 110317." }, { "q": "How much does Successful Resource Management, Ltd. manage?", "a": "Successful Resource Management, Ltd. reports $43,336,162 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary)." }, { "q": "What types of clients does Successful Resource Management, Ltd. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (89); high net worth individuals (22)." }, { "q": "Does Successful Resource Management, Ltd. report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/110317" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/successful-resource-management-ltd-johnston-ia-110317.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 89, "fewer_than_5": false, "raum": 13132537.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 22, "fewer_than_5": false, "raum": 30203625.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110317", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }