DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Lawson Kroeker Investment Management Inc
Latest filing Mar 4, 2026
First filing on the tape Mar 20, 2012 · 22 filings
SEC status approved since May 22, 1986
RAUM
$429M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$325M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$429M as of Mar 4, 2026
Mar 20, 2012$401M then
HNW client RAUM$292M as of Mar 4, 2026
Mar 30, 2018$266M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Mar 20, 20120 then
Employees (5.A)7 as of Mar 4, 2026
Feb 26, 20134 then
Private funds: 1
RAUM -37% over the last fiscal year+2.6% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$292M68%
- Charitable organizations$78.1M18%
- Individuals$33.7M7.9%
- Investment companies$25.1M5.9%
- Corporations and businesses$29,5560.0%
- Individual clients
- 43reported
- HNW clients
- 91reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 254reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.76 fund_share=0.06 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Joseph SudykaChartered Financial Analyst | Omaha, Ne | May 12, 2000 | 33 y | 0 |
| Bruce Harold Van KootenChartered Financial Analyst | Omaha, Ne | Nov 1, 2007 | 36 y | 1 |
| Patrick J Riordan | Omaha, Ne | Jul 13, 2012 | 39 y | 1 |
| Chad Christopher ClauserChartered Financial Analyst | Omaha, Ne | May 15, 2015 | 18 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Charles Adam Yale to First Manhattan Co. LLCJan 8, 2026 · RIA to affiliated broker-dealer or bank
- Nicholas James Bedlan to Creative PlanningMar 30, 2018 · RIA to RIA
Joined, latest
- Charles Adam Yale from Red Cedar Capital, LLCJan 29, 2023 · RIA to RIA
- Chad Christopher Clauser from Credit Suisse Securities (USA) LLCMay 15, 2015 · Other
- Nicholas James Bedlan from Morgan StanleyJan 12, 2015 · Other
- Patrick J Riordan from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 13, 2012 · Other
- Bruce Harold Van Kooten from Wells Fargo Investments, LLCNov 1, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L/K Limited Partnership No. 1no longer reported | Other Private Fund | $17.3M | 30 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Thomas Sudyka · Shareholder - Director - Chief Compliance Officercontrolsince 09/1999 · owns 50% to 75%
- Adam Charles Yale · Shareholder - Directorcontrolsince 01/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 4, 2026custody of client assets (Item 9.A): yes on the filing of 2026-01-08, no on the filing of 2026-03-04peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 4, 2026accounts (Item 5.F.2.f) moved from 406.0 to 254.0 (-37.0%) between the annual amendments of 2025-03-25 and 2026-03-04; the peer median change was +5.0% (3688 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 4.2% percentile
- RAUM down 25 %Change between filings · filing Mar 4, 2026RAUM (Item 5.F) moved from $682,713,010 to $428,568,259 (-37.0%) between the annual amendments of 2025-03-25 and 2026-03-04; the peer median change was +15.0% (4551 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 406 to 254Jan 8, 2026 to Mar 4, 2026
- Charity clients · 11 to 7Jan 8, 2026 to Mar 4, 2026
- Corporate clients · 4.0 to unsetJan 8, 2026 to Mar 4, 2026
- HNW clients · 144 to 91Jan 8, 2026 to Mar 4, 2026
- Individual clients · 62 to 43Jan 8, 2026 to Mar 4, 2026
- Assets in custody · 1140570.0 to unsetJan 8, 2026 to Mar 4, 2026
- Custody of client assets · true to falseJan 8, 2026 to Mar 4, 2026
- Discretionary RAUM · $683M to $429MJan 8, 2026 to Mar 4, 2026
- HNW RAUM · $509M to $292MJan 8, 2026 to Mar 4, 2026
- Individual RAUM · $39.5M to $33.7MJan 8, 2026 to Mar 4, 2026
- RAUM · $683M to $429MJan 8, 2026 to Mar 4, 2026
- Advisory employees · 5 to 4Mar 25, 2025 to Jan 8, 2026
- Employees · 8 to 7Mar 25, 2025 to Jan 8, 2026
- State-registered IARs · 5 to 4Mar 25, 2025 to Jan 8, 2026
- Accounts · 396 to 406Mar 20, 2024 to Mar 25, 2025
- Corporate clients · 5 to 4Mar 20, 2024 to Mar 25, 2025
- HNW clients · 136 to 144Mar 20, 2024 to Mar 25, 2025
- Individual clients · 59 to 62Mar 20, 2024 to Mar 25, 2025
- Assets in custody · $5.2M to $1.1MMar 20, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $624M to $683MMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $459M to $509MMar 20, 2024 to Mar 25, 2025
- Individual RAUM · $36.4M to $39.5MMar 20, 2024 to Mar 25, 2025
- RAUM · $624M to $683MMar 20, 2024 to Mar 25, 2025
- Accounts · 236 to 396Mar 21, 2023 to Mar 20, 2024
- Charity clients · 6 to 11Mar 21, 2023 to Mar 20, 2024
- Corporate clients · 0 to 5Mar 21, 2023 to Mar 20, 2024
- HNW clients · 84 to 136Mar 21, 2023 to Mar 20, 2024
- Individual clients · 48 to 59Mar 21, 2023 to Mar 20, 2024
- Assets in custody · $1.4M to $5.2MMar 21, 2023 to Mar 20, 2024
- Employees · 6 to 8Mar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $397M to $624MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $257M to $459MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $36.8M to $36.4MMar 21, 2023 to Mar 20, 2024
- RAUM · $397M to $624MMar 21, 2023 to Mar 20, 2024
- Accounts · 231 to 236Mar 14, 2022 to Mar 21, 2023
- Advisory employees · 4 to 5Mar 14, 2022 to Mar 21, 2023
- HNW clients · 81 to 84Mar 14, 2022 to Mar 21, 2023
- Individual clients · 45 to 48Mar 14, 2022 to Mar 21, 2023
- Assets in custody · $474,358 to $1.4MMar 14, 2022 to Mar 21, 2023
Signals
5 dated events
- Lawson Kroeker Investment Management Inc reported RAUM $428.6M, down 37% from $682.7M (2026-01-08 to 2026-03-04)Mar 4, 2026 · RAUM change · derived
- Charles Adam Yale left Lawson Kroeker Investment Management Inc for First Manhattan Co. Llc (registered 2026-01-08)Jan 8, 2026 · Advisor changed firm · fact
- Lawson Kroeker Investment Management Inc reported RAUM $623.8M, up 57% from $397.3M (2023-03-21 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- Harold Bruce Van Kooten (Shareholder - Director) no longer on Schedule A of Lawson Kroeker Investment Management Inc (listed 2022-03-14, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- Adam Charles Yale (Shareholder - Director) appeared on Schedule A of Lawson Kroeker Investment Management IncMar 21, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 402-392-2602reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-392-2606reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-810-5994reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/LAWSON-KROEKER-INVESTMENT-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LKFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 402-392-2606reportedpublic record, Form ADV, Mar 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026