DFX Intelligence
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CRD 160381
OMAHA, NE
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| L•••• S•• C••••••• | n/a | MEDFORD, OR | OMAHA, NE | 8 | 26 | 1 | no |
| M•••••• N••••• M••••• | n/a | MEDFORD, OR | OMAHA, NE | 8 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••• H••••••• I••••••••• I••• | PARENT COMPANY | E | yes | 01/2013 | Sep 30, 2020 | Mar 21, 2024 |
| A•••••• H••••••• I••••••••• L•• | PARENT COMPANY | E | yes | 01/2013 | Sep 30, 2020 | Mar 21, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•••••• R••••••••• S•••••••• L•• | n/a | Institutional manager | $7.4B | N | yes | n/a |
| A•••••• I•••••••• S•••••••• I••• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Appleton | Wi | United States | 3 | no |
| OAK BROOK | IL | United States | 2 | no |
| Medford | Or | United States | 2 | no |
| SAN ANTONIO | TX | United States | 2 | no |
| Scottsdale | Az | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 17 | 7 | 10 | 7.1% | 3 | 2 | 0 | 41 | 31 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $589M | $395M | 49.4% | $248M | 33.4% | 102 | 91 | 63 | 20 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A•••••• S•••• W••••• M••••••••• L•• | 2 | Oct 22, 2024 | Oct 30, 2024 | OMAHA, NE | Team lift out | RIA to RIA | 3.3% |
| C•••••••• F••••••••• L•• | 2 | Jan 9, 2023 | Sep 23, 2022 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••••• F•••••••• G•••• A••••••• | 4 | Oct 19, 2017 | Sep 29, 2017 | SAN ANTONIO, TX | Team lift out | Other | 1.2% |
| no |
| N•••••••• J• F•••••••• | n/a | Scottsdale, AZ | OMAHA, NE | 8 | 22 | 2 | no |
| W•••••• F••••• L•••• | n/a | SUGAR LAND, TX | OMAHA, NE | 8 | 40 | 3 | no |
| K•••••• P••• W••••• | n/a | IDAHO FALLS, ID | OMAHA, NE | 8 | 14 | n/a | no |
| S•••••••• D••• P•••• | n/a | OMAHA, NE | Chesterfield, MO | 7 | 20 | n/a | no |
| S••••• R••••• | Chartered Financial Consultant | OMAHA, NE | 7 | 28 | 1 | no |
| D•••• W•••• C•••••• | n/a | Bethlehem, PA | OMAHA, NE | 7 | 38 | 1 | no |
| A••••• W••••• E••• | n/a | OAK BROOK, IL | OMAHA, NE | 7 | 11 | 1 | no |
| T••• M•••••• L•••••••• | n/a | PITTSBURGH, PA | OMAHA, NE | 6 | 34 | 1 | no |
| T••••• R•••••• B••••• | Certified Financial Planner | SCOTTSDALE, AZ | OMAHA, NE | 6 | 21 | 4 | no |
| B•••• L• Z••• | n/a | BROCK, NE | OMAHA, NE | 6 | 14 | n/a | no |
| J••• M••••• B•••••• | n/a | OMAHA, NE | LAS VEGAS, NV | 6 | 23 | 1 | no |
| L•••• L••• | n/a | OMAHA, NE | MELBOURNE, FL | Palos Hills, IL | 5 | 13 | n/a | no |
| W•••• L••• S•••••• | n/a | OMAHA, NE | 5 | 19 | n/a | no |
| K•••• K•••••• B•••• | n/a | Palos Hills, IL | GLEN ELLYN, IL | OMAHA, NE | 5 | 16 | n/a | no |
| D•••• D• C•••••• | n/a | PEACHTREE CITY, GA | OMAHA, NE | Houston, TX | 5 | 18 | n/a | no |
| M•••••• B••••• O••••••••• | n/a | Maumee, OH | OMAHA, NE | 5 | 17 | 1 | no |
| M•••••• L•••• M••••• | n/a | OMAHA, NE | SARATOGA SPRINGS, NY | 5 | 12 | n/a | no |
| D••••• R•• M•••••• | n/a | LANSING, MI | OMAHA, NE | 5 | 12 | 1 | no |
| C••••••••• D•••• C•••••• | n/a | Hales Corners, WI | OMAHA, NE | 4 | 16 | n/a | no |
| M••••••• W•••• | n/a | PITTSBURG, PA | OMAHA, NE | 4 | 10 | 2 | no |
| H•••••• E••••• F••••••• | n/a | LEESBURG, FL | OMAHA, NE | 4 | 11 | n/a | no |
| M•••••• J••• B•••••• | Chartered Financial Consultant | CENTERVILLE, OH | OMAHA, NE | 4 | 34 | 1 | no |
| J••• J••••• F•••••••• | n/a | SCOTTSDALE, AZ | OMAHA, NE | 4 | 10 | n/a | no |
| PARENT COMPANY |
| E |
| yes |
| 01/2013 |
| Sep 30, 2020 |
| Mar 21, 2024 |
| A•••••• I•••••••• S•••••••• I••• | PARENT COMPANY | E | yes | 08/2020 | Sep 30, 2020 | Mar 21, 2024 |
| A•••••• S•••••••• I••• | PARENT COMPANY | E | yes | 01/2013 | Sep 30, 2020 | Mar 21, 2024 |
| C••••••• M••••••• D•••••• | VICE PRESIDENT | Na | yes | 07/2017 | Aug 10, 2018 | Mar 21, 2024 |
| R•••• R••••••• B••• | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2018 | Nov 7, 2018 | Mar 21, 2024 |
| S••••• M••••• S••••• I••• | Owner | E | yes | 10/2017 | Aug 10, 2018 | Mar 21, 2024 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| S••••• M••••• S••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| no |
| Clearwater | FL | United States | 1 | no |
| Orlando | FL | United States | 1 | no |
| PALM BEACH GARDENS | FL | United States | 1 | no |
| Atlanta | Ga | United States | 1 | no |
| Wahiawa | Hi | United States | 1 | no |
| IDAHO FALLS | Id | United States | 1 | no |
| Lockport | IL | United States | 1 | no |
| Aberdeen | Md | United States | 1 | no |
| Joppa | Md | United States | 1 | no |
| Chesterfield | Mo | United States | 1 | no |
| Melville | NY | United States | 1 | no |
| Orville | Oh | United States | 1 | no |
| Pittsburgh | Pa | United States | 1 | no |
| Houston | TX | United States | 1 | no |
| SUGAR LAND | TX | United States | 1 | no |
| Salem | Va | United States | 1 | no |
| FOND DU LAC | Wi | United States | 1 | no |
| HALES CORNERS | Wi | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $589M |
| $528M |
| 102 |
| 76 |
| 63 |
| n/a |
| n/a |
| 2024 | Apr 10, 2025 | $395M | $395M | 91 | 70 | 20 | n/a | n/a |
| 2023 | Mar 21, 2024 | $373M | $373M | 80 | 75 | 32 | n/a | n/a |
| 2022 | Mar 27, 2023 | $248M | $248M | 86 | 84 | 32 | n/a | n/a |
| 2021 | Mar 30, 2022 | $350M | $350M | 70 | 69 | 32 | n/a | n/a |
| 2020 | Mar 29, 2021 | $230M | $230M | 51 | 50 | 32 | n/a | n/a |
| 2019 | Mar 30, 2020 | $128M | $128M | 38 | 38 | 29 | n/a | n/a |
| 2018 | Feb 18, 2019 | $90.4M | $90.4M | 24 | 21 | 16 | n/a | n/a |
| SAN ANTOINO, TX |
| Team lift out |
| RIA to new firm |
| 4.2% |
| A••••••• A•••••• L•• | 2 | Oct 21, 2020 | Aug 27, 2020 | OMAHA, NE | Team lift out | RIA to state RIA | 6.9% |