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Former SEC-registered adviser

C••••• I••••••••• C•••••• I••

Former SEC-registered adviserOmaha, NebraskaCRD 111030SEC 801-56975IAPD
Latest filing Nov 4, 2013
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$92.6M as of Feb 20, 2013
Mar 26, 2012$92.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 20, 2013
Mar 26, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM +14% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Nov 4, 2013; every figure names its basis
RAUM per advisor
$26.3MderivedRAUM 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
$519,802derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
202reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• J•••• H••••• · President / Chief Compliance Officercontrol
      since 09/1999 · owns 75% or more
    • G•••••••• D•••••• R•••• · Vice President
      since 07/2013 · owns less than 5%
    • L•••••• T•••••• W•••• · Vice President
      since 01/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    • T••••• M• H••••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 209 to 202
      Jul 31, 2013 to Nov 4, 2013
    • BD registered reps · 2 to 3
      Jul 31, 2013 to Nov 4, 2013
    • Employees · 4 to 6
      Jul 31, 2013 to Nov 4, 2013
    • State-registered IARs · 3 to 4
      Jul 31, 2013 to Nov 4, 2013
    • Discretionary RAUM · $105M to $105M
      Jul 31, 2013 to Nov 4, 2013
    • RAUM · $105M to $105M
      Jul 31, 2013 to Nov 4, 2013
    • Accounts · 192 to 209
      Feb 20, 2013 to Jul 15, 2013
    • Discretionary RAUM · $92.6M to $105M
      Feb 20, 2013 to Jul 15, 2013
    • RAUM · $92.6M to $105M
      Feb 20, 2013 to Jul 15, 2013
    • Accounts · 187 to 192
      Mar 26, 2012 to Feb 20, 2013
    • Advisory employees · unset to 3.0
      Mar 26, 2012 to Feb 20, 2013
    • BD registered reps · unset to 2.0
      Mar 26, 2012 to Feb 20, 2013
    • Employees · unset to 4.0
      Mar 26, 2012 to Feb 20, 2013
    • State-registered IARs · 0 to 3
      Mar 26, 2012 to Feb 20, 2013
    • Discretionary RAUM · $92.0M to $92.6M
      Mar 26, 2012 to Feb 20, 2013
    • RAUM · $92.0M to $92.6M
      Mar 26, 2012 to Feb 20, 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