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

EXECUTIVE WEALTH MANAGEMENT

EXECUTIVE WEALTH MANAGEMENT LTD, CRD 281667

LINCOLN, 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:ff31b777-2a91-af29-4e5a-1d5bd5ce0705

Data as of Mar 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2015 to Mar 14, 2017
4 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: $308MItem 5.F on the latest filing (2017-03-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $308M
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: 12
Advisory employees: 5
Accounts: 877
SEC number: 801-106910
CRD: 281667
Filings on the tape: 4
First filed: Nov 5, 2015
Latest filed: Mar 14, 2017
Organised: Other (specify), 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
JEFFREY C. JOHNSON TRUST	DIRECT OWNER	E	yes	07/2012	Nov 5, 2015	Mar 14, 2017
JOHNSON, JEFFREY, CHARLES	Trustee	E	yes	10/2011	Nov 5, 2015	Mar 14, 2017
JOHNSON, JEFFREY, CHARLES	President	E	yes	12/2004	Nov 5, 2015	Mar 14, 2017
LINDER, SHANNON, MELISSA	CHIEF COMPLIANCE OFFICER	Na	yes	09/2015	Nov 5, 2015	Mar 14, 2017

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
2016	Mar 14, 2017	$308M	$308M	12	5	n/a	n/a	n/a
2015	Mar 14, 2016	$313M	$313M	16	8	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
2016	$308M	$313M	-1.7%	n/a	n/a	12	16	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
BUCKINGHAM STRATEGIC WEALTH, LLC	3	Apr 19, 2017	Apr 19, 2017	LINCOLN, NE	Firm absorbed	Other	100.0%
FLAGSTONE FINANCIAL MANAGEMENT, LLC	2	Jan 17, 2017	Dec 21, 2016	LINCOLN, NE	Team lift out	Other	40.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	4	Feb 4, 2016	Feb 9, 2016	LINCOLN, NE	Team lift out	Other	0.1%

Relationships

Controls (3)

← JOHNSON, JEFFREY, CHARLESOwnerTRUSTEE, ownership code E, individual
Nov 5, 2015 to presentfactForm ADV
← LINDER, SHANNON, MELISSAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 5, 2015 to presentfactForm ADV
← JEFFREY C. JOHNSON TRUSTOwnerDIRECT OWNER, ownership code E, domestic entity
Nov 5, 2015 to presentfactForm ADV

Moved with (3)

→ BUCKINGHAM STRATEGIC WEALTH, LLCRegistered adviser3 advisors, firm absorbed, same day
Apr 19, 2017 to Apr 19, 2017factForm ADV
→ FLAGSTONE FINANCIAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Jan 17, 2017 to Dec 21, 2016factForm ADV
← LPL FINANCIAL LLCRegistered adviser4 advisors, team lift out
Feb 4, 2016 to Feb 9, 2016factForm ADV

Registered with (5)

← JEFFREY CHARLES JOHNSONAdvisorregistration: previous registration
Nov 18, 2015 to Apr 19, 2017factForm ADV
← SHANNON MELISSA LINDERAdvisorregistration: previous registration
Feb 9, 2016 to Apr 19, 2017factForm ADV
← ANDREW ERIC WAITEAdvisorregistration: previous registration
Nov 18, 2015 to Apr 19, 2017factForm ADV
← MICHAEL TATE JOHNSONAdvisorregistration: previous registration
Nov 25, 2015 to Jan 17, 2017factForm ADV
← STEPHANIE PATRICE TREDWAYAdvisorregistration: previous registration
Feb 8, 2016 to Jan 17, 2017factForm ADV

Dated events

Occurred
Nov 5, 2015
First Form ADV filing
Executive Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff31b777-2a91-af29-4e5a-1d5bd5ce0705
First observed: Nov 5, 2015
Last observed: Mar 14, 2017 115 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.

EXECUTIVE WEALTH MANAGEMENT

EXECUTIVE WEALTH MANAGEMENT LTD, CRD 281667

LINCOLN, 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:ff31b777-2a91-af29-4e5a-1d5bd5ce0705

Data as of Mar 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JEFFREY C. JOHNSON TRUST

DIRECT OWNER

yes

07/2012

Nov 5, 2015

Mar 14, 2017

JOHNSON, JEFFREY, CHARLES

Trustee

yes

10/2011

Nov 5, 2015

Mar 14, 2017

JOHNSON, JEFFREY, CHARLES

President

yes

12/2004

Nov 5, 2015

Mar 14, 2017

LINDER, SHANNON, MELISSA

CHIEF COMPLIANCE OFFICER

yes

09/2015

Nov 5, 2015

Mar 14, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 14, 2017

$308M

n/a

2015

Mar 14, 2016

$313M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$308M

$313M

-1.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BUCKINGHAM STRATEGIC WEALTH, LLC

Apr 19, 2017

LINCOLN, NE

Firm absorbed

Other

100.0%

FLAGSTONE FINANCIAL MANAGEMENT, LLC

Jan 17, 2017

Dec 21, 2016

LINCOLN, NE

Team lift out

Other

40.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Feb 4, 2016

Feb 9, 2016

LINCOLN, NE

Team lift out

Other

0.1%