DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIRST NATIONAL CAPITAL MARKETS, INC.

CRD 115920

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:33555248-fd0b-301f-5b4b-29e1c5caa8f2

Data as of Jun 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 60
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 25, 2015
13 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: $139MItem 5.F on the latest filing (2015-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 40
Advisory employees: 5
Accounts: 975
SEC number: 801-71101
CRD: 115920
Filings on the tape: 13
First filed: Mar 30, 2012
Latest filed: Jun 25, 2015
Organised: Corporation, Nebraska

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
BAXTER, NICHOLAS WALKER	Secretary	Na	yes	05/2005	Aug 28, 2014	Jun 25, 2015
COTA, DAVID EARL JR	PRESIDENT AND DIRECTOR	Na	yes	09/2001	Mar 30, 2012	Jun 25, 2015
FIRST NATIONAL INVESTMENT BANKING, INC.	DIRECT OWNER	E	yes	11/2007	Mar 30, 2012	Jun 25, 2015
FIRST NATIONAL OF NEBRASKA, INC.	DIRECT OWNER	E	yes	04/2007	Mar 30, 2012	Jun 25, 2015
HAMPTON, DANIELLE DEE	CHIEF COMPLIANCE OFFICER	Na	yes	08/2014	Aug 12, 2014	Jun 25, 2015
LAURITZEN CORPORATION	DIRECT OWNER	C	yes	06/1997	Mar 30, 2012	Jun 25, 2015
MUSSER, ELIZABETH A.	FINANCIAL PRINCIPAL/TREASURER	Na	yes	08/2014	Aug 12, 2014	Jun 25, 2015
OCONNOR, MAUREEN	ASSISTANT SECRETARY	Na	yes	09/2001	Aug 28, 2014	Jun 25, 2015
SCHILLING, GREG ALAN	Director	Na	yes	12/2008	Mar 30, 2012	Jun 25, 2015
WADE, STEPHEN CURTIS	Director	Na	yes	03/2014	Apr 30, 2014	Jun 25, 2015

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
TRIBUTARY CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$1.9B	N	yes	n/a
FIRST NATIONAL BANK OF OMAHA	n/a	Former SEC adviser	$761M	N	yes	n/a
FIRST INSURANCE GROUP, LLC	n/a	n/a	n/a	N	yes	n/a
FIRST NATIONAL BANK OF OMAHA	n/a	n/a	n/a	N	yes	n/a
FNN TRUST COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a

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	n/a	no

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
2014	Mar 19, 2015	$754M	$126M	70	20	n/a	n/a	n/a
2013	Mar 26, 2014	$684M	$85.0M	70	20	n/a	n/a	n/a
2012	Apr 1, 2013	$662M	$32.4M	70	20	n/a	n/a	n/a
2011	Mar 30, 2012	$647M	$22.1M	n/a	n/a	n/a	n/a	n/a

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
2014	$139M	$684M	-79.7%	$647M	-40.1%	40	70	n/a	n/a

Teams out

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

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	4	Jun 18, 2015	Jun 17, 2015	FORT COLLINS, CO	Team lift out	Other	16.7%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	16	Jun 18, 2015	Jun 24, 2015	OMAHA, NE	Firm absorbed	Other	66.7%

Relationships

Affiliated with (3)

← FIRST NATIONAL FUND ADVISERSRegistered adviserbroker-dealer, common control
factForm ADV
→ TRIBUTARY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST NATIONAL FUND ADVISERSRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← WADE, STEPHEN CURTISOwnerDIRECTOR, ownership code NA, individual
Apr 30, 2014 to presentfactForm ADV
← COTA, DAVID EARL JROwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HAMPTON, DANIELLE DEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 12, 2014 to presentfactForm ADV
← SCHILLING, GREG ALANOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MUSSER, ELIZABETH A.OwnerFINANCIAL PRINCIPAL/TREASURER, ownership code NA, individual
Aug 12, 2014 to presentfactForm ADV
← BAXTER, NICHOLAS WALKEROwnerSECRETARY, ownership code NA, individual
Aug 28, 2014 to presentfactForm ADV
← FIRST NATIONAL INVESTMENT BANKING, INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← FIRST NATIONAL OF NEBRASKA, INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← LAURITZEN CORPORATIONOwnerDIRECT OWNER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← OCONNOR, MAUREENOwnerASSISTANT SECRETARY, ownership code NA, individual
Aug 28, 2014 to presentfactForm ADV

Registered with (43)

← Martin VolinAdvisorregistration: previous registration
Nov 10, 2011 to Oct 14, 2015factForm ADV
← James DeJulioAdvisorregistration: previous registration
Jun 1, 2010 to Jun 18, 2015factForm ADV
← FRANK JOHN WARDAdvisorregistration: previous registration
Apr 8, 2013 to Jun 18, 2015factForm ADV
← JOHN ALBERT BARRIENTOSAdvisorregistration: previous registration
Aug 28, 2013 to Jun 18, 2015factForm ADV
← Matthew Allen VeenkerAdvisorregistration: previous registration
Mar 10, 2014 to Jun 18, 2015factForm ADV
← CLIFTON WILLOUGHBY HUMEAdvisorregistration: previous registration
Jun 2, 2014 to Jun 18, 2015factForm ADV
← JEREMY JOHN SIRAGUSAAdvisorregistration: previous registration
May 11, 2010 to Jun 18, 2015factForm ADV
← MATTHEW EARLE RUSSELLAdvisorregistration: previous registration
Jan 2, 2014 to Jun 18, 2015factForm ADV
← ADAM MICHAEL DELAUGHTERAdvisorregistration: previous registration
Jun 11, 2012 to Jun 18, 2015factForm ADV
← CRAIG MICHAEL SALLAdvisorregistration: previous registration
Dec 20, 2013 to Jun 18, 2015factForm ADV
← Mark Daniel VanceAdvisorregistration: previous registration
Jun 2, 2010 to Jun 18, 2015factForm ADV
← RYAN CHRISTOPHER OLESONAdvisorregistration: previous registration
Jan 2, 2014 to Jun 18, 2015factForm ADV
← MELODY LYNN HOHNAdvisorregistration: previous registration
Jun 3, 2010 to Jun 18, 2015factForm ADV
← DAVID ISAAC ESSAYAdvisorregistration: previous registration
Jun 1, 2010 to Jun 18, 2015factForm ADV
← ERIN KAY WOODAdvisorregistration: previous registration
Jun 19, 2012 to Jun 18, 2015factForm ADV
← MATTHEW RYAN FERGUSONAdvisorregistration: previous registration
Oct 1, 2012 to Jun 18, 2015factForm ADV
← LAURA BETH O'CONNORAdvisorregistration: previous registration
Dec 17, 2013 to Jun 18, 2015factForm ADV
← Aaron Timothy WintersAdvisorregistration: previous registration
Mar 11, 2014 to Jun 18, 2015factForm ADV
← Valerie L MillerAdvisorregistration: previous registration
Jun 3, 2010 to Jun 18, 2015factForm ADV
← ROBERT MICHAEL LYNCHAdvisorregistration: previous registration
Jul 3, 2012 to Jun 18, 2015factForm ADV
← JAMIE LYNETTE MASILKOAdvisorregistration: previous registration
Jun 3, 2010 to Jun 18, 2015factForm ADV
← STEFANIE LYNN CREENCIAAdvisorregistration: previous registration
Jul 1, 2010 to Jun 18, 2015factForm ADV
← Matthew Scott MohnsenAdvisorregistration: previous registration
Nov 1, 2011 to Jun 18, 2015factForm ADV
← RYAN GERALD DECKERAdvisorregistration: previous registration
Sep 25, 2014 to Jun 18, 2015factForm ADV
← DALE LITTLETON CLOUDAdvisorregistration: previous registration
May 8, 2012 to Jan 7, 2015factForm ADV
← DAVID JOSEPH GOLDSTONEAdvisorregistration: previous registration
Sep 23, 2013 to Nov 6, 2014factForm ADV
← CHRISTOPHER THOMAS STAKLEYAdvisorregistration: previous registration
Sep 8, 2010 to Sep 2, 2014factForm ADV
← BRIAN THOMAS BROWNAdvisorregistration: previous registration
Jun 1, 2010 to Jul 2, 2014factForm ADV
← SCOTT PARKER MAYOAdvisorregistration: previous registration
Jun 2, 2010 to Sep 23, 2013factForm ADV
← JESS TYLER MEEKMAAdvisorregistration: previous registration
Jun 1, 2010 to Aug 8, 2013factForm ADV
and 13 more

Moved with (1)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser16 advisors, firm absorbed, same day
Jun 18, 2015 to Jun 24, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33555248-fd0b-301f-5b4b-29e1c5caa8f2
First observed: Mar 30, 2012
Last observed: Jun 25, 2015 136 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.

FIRST NATIONAL CAPITAL MARKETS, INC.

CRD 115920

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:33555248-fd0b-301f-5b4b-29e1c5caa8f2

Data as of Jun 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAXTER, NICHOLAS WALKER

Secretary

yes

05/2005

Aug 28, 2014

Jun 25, 2015

COTA, DAVID EARL JR

PRESIDENT AND DIRECTOR

yes

09/2001

Mar 30, 2012

Jun 25, 2015

FIRST NATIONAL INVESTMENT BANKING, INC.

DIRECT OWNER

yes

11/2007

Mar 30, 2012

Jun 25, 2015

FIRST NATIONAL OF NEBRASKA, INC.

DIRECT OWNER

yes

04/2007

Mar 30, 2012

Jun 25, 2015

HAMPTON, DANIELLE DEE

CHIEF COMPLIANCE OFFICER

yes

08/2014

Aug 12, 2014

Jun 25, 2015

LAURITZEN CORPORATION

DIRECT OWNER

yes

06/1997

Mar 30, 2012

Jun 25, 2015

MUSSER, ELIZABETH A.

FINANCIAL PRINCIPAL/TREASURER

yes

08/2014

Aug 12, 2014

Jun 25, 2015

OCONNOR, MAUREEN

ASSISTANT SECRETARY

yes

09/2001

Aug 28, 2014

Jun 25, 2015

SCHILLING, GREG ALAN

Director

yes

12/2008

Mar 30, 2012

Jun 25, 2015

WADE, STEPHEN CURTIS

Director

yes

03/2014

Apr 30, 2014

Jun 25, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TRIBUTARY CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$1.9B

yes

n/a

FIRST NATIONAL BANK OF OMAHA

n/a

Former SEC adviser

$761M

yes

n/a

FIRST INSURANCE GROUP, LLC

n/a

yes

n/a

FIRST NATIONAL BANK OF OMAHA

n/a

yes

n/a

FNN TRUST COMPANY, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Omaha

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 19, 2015

$754M

$126M

n/a

2013

Mar 26, 2014

$684M

$85.0M

n/a

2012

Apr 1, 2013

$662M

$32.4M

n/a

2011

Mar 30, 2012

$647M

$22.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$139M

$684M

-79.7%

$647M

-40.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Jun 18, 2015

Jun 17, 2015

FORT COLLINS, CO

Team lift out

Other

16.7%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Jun 18, 2015

Jun 24, 2015

OMAHA, NE

Firm absorbed

Other

66.7%