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.

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Former SEC-registered adviser

B•••••• I••••••••• C•••••• I••

Former SEC-registered adviserOmaha, NebraskaCRD 105692SEC 801-3153IAPD
Latest filing Sep 27, 2017
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$733M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$697M as of Mar 22, 2017
Mar 30, 2012$604M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 22, 2017
Mar 30, 20120 then
Employees (5.A)13 as of Mar 22, 2017
Mar 28, 201313 then
Private funds: no history
RAUM +6.4% over the last fiscal year+1.0% a year over threeIARs 8 to 1
Practice profile
derived from the filing of Sep 27, 2017; every figure names its basis
RAUM per advisor
$733MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
540reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• I•• E••••• L••••• · President, Ceo, Director & Chief Compliance Officercontrol
        since 12/2006 · owns 75% or more
      • B•••••• I••• E••••• L••••• · Executive Vice President, Directorcontrol
        since 02/1992 · owns less than 5%
      • B••••••• R•••••• W••••• · Director
        since 11/2006 · owns less than 5%
      • B••••••• S••••• S••••• · Director
        since 01/1963 · owns less than 5%
      • D••••• N••••• K• · Senior Vice President
        since 03/2006 · owns less than 5%
      • G••••• D••••••• L•• · Senior Vice President
        since 10/1998 · owns less than 5%
      • K••••••••• B••••• M•••••• · Senior Vice President
        since 03/2007 · owns less than 5%
      • M••••• M•••• A•• · Senior Vice President, Treasurer & Secretary
        since 03/2006 · owns less than 5%
      • M••••• B••••• L• · Vice President
        since 06/2004 · owns less than 5%
      • M••••• B••••• R••••• · Senior Vice President
        since 05/2008 · owns less than 5%
      • P••••• D••••••• R•••••• · Senior Vice President Of Financial
        since 03/2007 · owns less than 5%
      • R••••••• P•••••••• S•••• · Assistant To Evp
        since 10/1996 · owns less than 5%
      • S••••••• K•••••••• J•••• · Vice President
        since 03/1997 · owns less than 5%
      • W••••••••• S•••••• J• · Assistant To Svp
        since 08/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list B•••••• I••••••••• C•••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 564 to 540
        Mar 22, 2017 to Sep 27, 2017
      • Advisory employees · 7 to 1
        Mar 22, 2017 to Sep 27, 2017
      • Employees · 13 to 1
        Mar 22, 2017 to Sep 27, 2017
      • Insurance-licensed employees · 8 to 1
        Mar 22, 2017 to Sep 27, 2017
      • State-registered IARs · 8 to 1
        Mar 22, 2017 to Sep 27, 2017
      • Discretionary RAUM · $616M to $666M
        Mar 22, 2017 to Sep 27, 2017
      • Non-discretionary RAUM · $80.2M to $66.4M
        Mar 22, 2017 to Sep 27, 2017
      • RAUM · $697M to $733M
        Mar 22, 2017 to Sep 27, 2017
      • Accounts · 586 to 564
        Mar 28, 2016 to Mar 22, 2017
      • Financial planning clients · unset to 0
        Mar 28, 2016 to Mar 22, 2017
      • Discretionary RAUM · $612M to $616M
        Mar 28, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $76.0M to $80.2M
        Mar 28, 2016 to Mar 22, 2017
      • RAUM · $688M to $697M
        Mar 28, 2016 to Mar 22, 2017
      • Accounts · 613 to 586
        Mar 30, 2015 to Mar 28, 2016
      • Discretionary RAUM · $676M to $612M
        Mar 30, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $83.0M to $76.0M
        Mar 30, 2015 to Mar 28, 2016
      • RAUM · $760M to $688M
        Mar 30, 2015 to Mar 28, 2016
      • Accounts · 672 to 613
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $632M to $676M
        Mar 31, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $78.4M to $83.0M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $711M to $760M
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 704 to 672
        Apr 30, 2013 to Mar 31, 2014
      • Discretionary RAUM · $553M to $632M
        Apr 30, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $65.8M to $78.4M
        Apr 30, 2013 to Mar 31, 2014
      • RAUM · $619M to $711M
        Apr 30, 2013 to Mar 31, 2014
      • Accounts · 735 to 704
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 7.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 13.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 8
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $524M to $553M
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $80.4M to $65.8M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $604M to $619M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026