Advisor at Independent Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Independent Financial Group, LLC
Location
Pequot Lakes, MN
Credentials
Series 63
Industry experience
29 years
Diane Rook Johnson is a financial advisor with Independent Financial Group, LLC, holding a Series 63 license and bringing 29 years of industry experience. She has been with Independent Financial Group since 2014 and has a long tenure with Western Fraternal Life dating back to 1983. Outside of her advisory work, she is involved in farming and beekeeping as a 50% owner and holds ownership interests in rental properties. Independent Financial Group, LLC is a dual-registered broker-dealer and SEC-registered investment adviser serving individuals, charities, corporations, and plan sponsors. The firm offers brokerage, portfolio management, financial planning, and retirement plan services, utilizing a variety of advisory programs and third-party asset managers through its national network of Investment Adviser Representatives.
Based on Independent Financial Group, LLC
Based on Independent Financial Group, LLC
Flat fees for financial planning and consulting services; negotiable and specified in Financial Planning/Consulting Agreement.
$0 - $250,000: 2.00% maximum Advisor Fee + 0.16% Program Fee $250,000 - $500,000: 2.00% maximum Advisor Fee + 0.12% Program Fee $500,000 - $1,000,000: 2.00% maximum Advisor Fee + 0.10% Program Fee $1,000,000 - $2,000,000: 2.00% maximum Advisor Fee + 0.06% Program Fee $2,000,000 - $5,000,000: 2.00% maximum Advisor Fee + 0.05% Program Fee $5,000,000+: 2.00% maximum Advisor Fee + 0.04% Program Fee
Commissions earned by IARs when acting as registered representatives for brokerage services outside advisory programs.
Hourly financial consulting fees, collected in advance or arrears; negotiable and specified in Financial Planning/Consulting Agreement.
Subscription-based fees for financial planning programs, stated in the Financial Planning/Consulting Agreement, paid monthly or quarterly.
Account minimum: $2,000 to $100,000 depending on program; specific minimums include $5,000 for AccessPoint Models, $25,000 for AccessPoint Advisor Portfolios, $2,000 manager dependent for Fund Strategist Portfolios, $100,000 for Separately Managed Accounts, $50,000 for Unified Managed Accounts, $25,000 for AP Client, $50,000 for CAM Client Schwab, no minimum for Retirement Plan Services (RPS) Fee-only: Hourly rates, flat fees, and subscription billing for financial planning and consulting services; fees are negotiable and detailed in Financial Planning/Consulting Agreement.
Pequot Lakes, MN
Minnesota
Independent Financial Group LLC
2014 - Present (12 years)
Western Fraternal Life
1983 - Present (43 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 65
Crosslake, MN
Parsonex Advisory Services, Inc.
CFP®, ChFC®, Series 63
Pine River, MN
Cetera
Series 65, Series 66
Edina, MN
Merrill
Richard Kleber is a Wealth Management Advisor at Merrill Lynch Wealth Management, where he has been serving clients since 1998. He specializes in investment planning and portfolio management, providing both traditional financial advice and discretionary management of personalized or defined strategies. His expertise encompasses a broad range of client focus areas including college education planning, corporate executive services, family wealth management strategies, philanthropic planning, and socially responsible investing. Richard earned a Bachelor's degree in Mathematics from St. Olaf College, where he was active in athletics, participating in basketball and track. He holds several professional designations, including CERTIFIED FINANCIAL PLANNER (CFP), CERTIFIED PLAN FIDUCIARY ADVISOR (CPFA), Chartered Retirement Planning Counselor (CRPC), Personal Investment Advisor (PIA), and Retirement Accredited Financial Advisor (RAFA). Beyond his professional work, he has been involved with Rotary International and serves on the board of the International Hearing Foundation, reflecting his commitment to community service. Residing in Edina, Minnesota, Richard lives with his wife Elizabeth and has three grown children. His personal interests include traveling, golfing, basketball, football, and enjoying cultural activities. He has also contributed to community organizations such as Africa Classroom Connection and the International Hearing Foundation.
Series 63, Series 65
Cape Coral, FL
Robert Baird & Co.
Series 66
Nisswa, MN
Edward Jones
Series 63, Series 66
Crosslake, MN
Ameriprise
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