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T• A••••••••• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

T• A••••••••• I••••••••• M••••••••• L••

CRD 111514

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0f79e24e-133f-23be-f3e3-7fa34deba6d6

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4,173
Dated events: 40
On other graphs: 0
Observed: Dec 22, 2011 to Mar 31, 2023
71 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $16BItem 5.F on the latest filing (2023-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
Private client RAUM: $16BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M••••••• G•••	Treasurer	Na	yes	08/2021	Sep 10, 2021	Mar 31, 2023
B•••• J•••	PRESIDENT, CHIEF OPERATIONS OFFICER	Na	yes	07/2009	Dec 22, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• S••••• I••••••••• M••••••••• I••	n/a	Other adviser	$1721B	N	yes	n/a
C•••••• S••••• I••••••••• A•••••••• I•••	n/a	Former SEC adviser	$66B	N

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Omaha	Ne	United States	68	yes
Southlake	TX	United States	39	yes
JERSEY CITY	Nj	United States	20	yes
Westlake	TX	United States	20	yes
SHORT HILLS	Nj

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$16B	$23B	-32.0%	$21B	-9.3%	20	22	380	380

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 202

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• S••••• I••••••••• M••••••••• I••	2	Sep 7, 2023	Dec 12, 2022	JERSEY CITY, NJ	Channel change	Other	0.3%
S••••• W••••• A•••••••• I•••	3	Sep 7, 2023

Teams in

teams that arrived here from one firm together; showing 20 of 158

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T• A••••••••• I•••	2	Sep 15, 2022	Jan 6, 2018	OMAHA, NE	Channel change	Other	0.2%
T• A••••••••• I•••	3	Sep 15, 2022

Relationships

showing 80 of 4,173

Affiliated with (9)

← C•••••• S••••• I••••••••• A•••••••, INCRegistered adviserother investment adviser, common control
factForm ADV
→ C•••••• S••••• I••••••••• M••••••••• I••Registered adviserother investment adviser, bank, common control
factForm ADV
→ C•••••• S••••• I••••••••• A•••••••, INCRegistered adviserother investment adviser, common control
factForm ADV
→ S••••• W••••• A•••••••• I•••

Dated events

Occurred
Sep 7, 2023
Advisor departed, no destination yet
Jessica Dawn Wertz no longer registered at T• A••••••••• I••••••••• M••••••••• L••; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Sep 7, 2023
Advisor departed, no destination yet
Thomas Robert Lloyd no longer registered at T• A••••••••• I••••••••• M••••••••• L••; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Sep 7, 2023
Advisor departed, no destination yet
Rachel Alexandra Roche no longer registered at T• A••••••••• I••••••••• M••••••••• L••; no later IA registration on IAPD
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f79e24e-133f-23be-f3e3-7fa34deba6d6
First observed: Dec 22, 2011
Last observed: Mar 31, 2023 42 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Registered with (58)

← RANDALL RUSSELL RUSSOAdvisorregistration: previous registration
Jun 17, 2014 to Sep 7, 2023factForm ADV
← Phyllis Louise EganAdvisorregistration: previous registration
May 17, 2006 to Sep 7, 2023factForm ADV
← Bradley Paul SchluterAdvisorregistration: previous registration
Apr 11, 2023 to Sep 7, 2023factForm ADV
← JAMES EGANAdvisorregistration: previous registration
Jan 23, 2014 to Sep 7, 2023factForm ADV
← Kenneth D HighetAdvisorregistration: previous registration
Jan 16, 2019 to Sep 7, 2023factForm ADV
← Bruce MonacoAdvisorregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
← RICHARD FRANCIS DUNNAdvisorregistration: previous registration
Oct 1, 2014 to Sep 7, 2023factForm ADV
← David Alan JosephAdvisorregistration: previous registration
Aug 15, 2017 to Sep 7, 2023factForm ADV
← Eugene Howard EngholmAdvisorregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
← Ingrid Louise KaferAdvisorregistration: previous registration
Mar 14, 2023 to Sep 7, 2023factForm ADV
← LUKE JUNGWOOK LEEAdvisorregistration: previous registration
Apr 25, 2016 to Sep 7, 2023factForm ADV
← GREGORY CLAYTON ALLENAdvisorregistration: previous registration
Dec 6, 2012 to Sep 7, 2023factForm ADV
← WILLIE DUNMOREAdvisorregistration: previous registration
May 19, 2006 to Sep 7, 2023factForm ADV
← PETER THURSTON DAVISAdvisorregistration: previous registration
Jun 12, 2013 to Sep 7, 2023factForm ADV
← PETER ANTHONY SAVARESEAdvisorregistration: previous registration
Feb 15, 2018 to Sep 7, 2023factForm ADV
← KELLY GEORGETTE GROMOLLAdvisorregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
← KEITH LEONGAdvisorregistration: previous registration
Apr 4, 2021 to Sep 7, 2023factForm ADV
← Richard LowAdvisorregistration: previous registration
Jul 20, 2017 to Sep 7, 2023factForm ADV
← NICHOLAS RAYMOND VOURAKISAdvisorregistration: previous registration
May 28, 2009 to Sep 7, 2023factForm ADV
← DOUGLAS FOSDICK CARTERAdvisorregistration: previous registration
Jun 12, 2017 to Sep 7, 2023factForm ADV
← PATRICK SCOTT FREELANDAdvisorregistration: previous registration
Nov 2, 2018 to Sep 7, 2023factForm ADV
← CHRISTOPHER AUTRYAdvisorregistration: previous registration
Aug 1, 2006 to Sep 7, 2023factForm ADV
← KENNETH GEORGE COLESAdvisorregistration: previous registration
Feb 23, 2012 to Sep 7, 2023factForm ADV
← M•••••• THOMAS DONALDSONAdvisorregistration: previous registration
Dec 24, 2014 to Sep 7, 2023factForm ADV
← BARRY ALLEN LINDERAdvisorregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
← ROBERT GERARD MUNLEYAdvisorregistration: previous registration
Jan 29, 2013 to Sep 7, 2023factForm ADV
← RYAN SCOTT VERNONAdvisorregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
← Leland R WhiteAdvisorregistration: previous registration
Mar 3, 2021 to Sep 7, 2023factForm ADV
← Felicia Marshell WatsonAdvisorregistration: previous registration
Feb 28, 2017 to Sep 7, 2023factForm ADV
← GLEN THOMAS FLANAGHANAdvisorregistration: previous registration
Jan 8, 2013 to Sep 7, 2023factForm ADV
and 28 more