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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SEC-registered adviser

P•••••••• • A••••••• I••

Independent wealth managerLincoln, NebraskaCRD 111033SEC 801-49107website IAPD

Latest filing Jan 7, 2026

First filing on the tape Dec 22, 2011 · 21 filings

SEC status approved since May 3, 2000

RAUM

$3.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

54%

$1.6B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$217M

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$3.0B as of Jan 7, 2026

Dec 22, 2011$581M then

HNW client RAUM$1.4B as of Jan 7, 2026

Dec 21, 2017$454M then

State-registered IARs (5.B.3)14 as of Jan 7, 2026

Dec 22, 20110 then

Employees (5.A)14 as of Jan 7, 2026

Dec 10, 20127 then

Private funds: no history

RAUM -8.4% over the last fiscal year+10% a year over threeIARs 14 to 14

Practice profile

derived from the filing of Jan 7, 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 a••••••s, one to three offices, no public reporting company control

RAUM per advisor: $217MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.0MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -8.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.5%derived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)
compensates persons for client referrals (8.G.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.4B45%
Corporations and businesses$1.2B39%
Individuals$264M8.7%
Charitable organizations$209M6.9%

Individual clients: 553reported
HNW clients: 341reported
Pension plan clients: 0reported
Charitable clients: 11reported
Accounts: 2,261reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.54 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

14 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•• J••••• S•••••••Certified Financial Planner	Lincoln, Ne	Mar 18, 2002	28 y	0
D•••• L••• K••••Certified Financial Planner	Lincoln, Ne	Mar 18, 2002	25 y	0
J•••• S• P••••••••Certified Financial Planner	Lincoln, Ne	Aug 17, 2006	22 y	1
E•••••••• A•• S••••••	Lincoln, Ne	Apr 28, 2008	18 y	0
D••••• L• A•••••••Certified Financial Planner	Lincoln, Ne	Nov 16, 2009	40 y	0
S•••• M•••••• R••••Chartered Financial Analyst	Lincoln, Ne	Jun 23, 2011	15 y	0
B•••• A••• A•••••••	Lincoln, Ne	Feb 4, 2014	12 y	0
K•••••• M• K••••••	Lincoln, Ne	Mar 17, 2015	12 y	0
A••••• L••• M••••Certified Financial Planner	Lincoln, Ne	Jun 10, 2016	19 y	2
D••••• E•••• F••••Certified Financial Planner, Chartered Financial Analyst	Lincoln, Ne	Aug 3, 2021	28 y	0
A••••• N•••••Certified Financial Planner	Lincoln, Ne	Mar 22, 2023	18 y	1
J••••• S••••••••	Lincoln, Ne	Feb 8, 2024	14 y	0
J•••• A•• S••••••	Lincoln, Ne	May 20, 2025	25 y	2
C•••••• D• F••••	Lincoln, Ne	Jun 17, 2026	11 y	0

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount1 left over 36 months

Left, latest

S•••• E•••••••• S••••• to A••••
Jun 17, 2026 · RIA to RIA
J••• W•••••• D••••••••• to A••••••••• W••••• M••••••••• L••
Jan 11, 2022 · RIA to a state-registered adviser
H••••• M•••• L•••••• to B••••••• F•• L••
Oct 15, 2021 · RIA to RIA
L•••••• D•••• S•••••• to B••••••••• I••••••••• C••••••
Sep 28, 2017 · Other
B•••• T••• W••••• to T•• M••••• W••••• G••••
Jun 9, 2011 · Other
H•••• R• B•••••• to C••••• A•••••• N••••••• L••
Jan 17, 2003 · Other

Joined, latest

J•••• A•• S•••••• from A••••••• A••••••• S•••••••
May 20, 2025 · Other
A••••• N••••• from R•••• I••••••••• A••••••• L••
Mar 22, 2023 · Affiliated broker-dealer or bank to independent RIA
A••••• L••• M•••• from S•••• H•••• A••••••• I••
Jun 10, 2016 · Other
J•••• S• P•••••••• from W•••• F•••• I••••••••• L••
Aug 17, 2006 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••••• B••••• A••• · Partner/ Presidentcontrol
since 01/2014 · owns 10% to 25%
A•••••••• D•••••• L• · Chairman/Cfocontrol
since 07/1996 · owns 10% to 25%
P••••••••• J••••• S• · Founder/ Retiredcontrol
since 04/1995 · owns 10% to 25%
P••••••••• J••••• S• · Partner/ Ceocontrol
since 01/2014 · owns 10% to 25%
A•••••••• S••• A•• · Director
since 07/1996 · owns less than 5%
F••••• D•••••• E•••• · Partner
since 10/2022 · owns less than 5%
K••••• D••••• L••• · Partner
since 03/2012 · owns 5% to 10%
K••••••• K••••••• M• · Chief Compliance Officer
since 12/2018 · owns less than 5%
P••••••••• M••••••• M• · Director
since 12/2020 · owns 10% to 25%
R••••• S••••• M•••••• · Partner
since 03/2012 · owns 5% to 10%
S•••••••• J••• J••••• · Partner
since 03/2012 · owns 5% to 10%

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
Lincoln, Ne · principal	14	1	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Jan 7, 2026
A•••••••• D•••••• L• (CHAIRMAN/CFO) left Schedule A between the filings of 2022-12-20 and 2026-01-07
peers: independent wealth managers, $1B to $5B (1,362)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,126 to 2,261
Dec 23, 2024 to Dec 23, 2025
Charity clients · 14 to 11
Dec 23, 2024 to Dec 23, 2025
HNW clients · 311 to 341
Dec 23, 2024 to Dec 23, 2025
Individual clients · 570 to 553
Dec 23, 2024 to Dec 23, 2025
Financial planning clients · 101-250 to 101-250
Dec 23, 2024 to Dec 23, 2025
Discretionary RAUM · $3.3B to $3.0B
Dec 23, 2024 to Dec 23, 2025
HNW RAUM · $1.3B to $1.4B
Dec 23, 2024 to Dec 23, 2025
Individual RAUM · $237M to $264M
Dec 23, 2024 to Dec 23, 2025
RAUM · $3.3B to $3.0B
Dec 23, 2024 to Dec 23, 2025
Accounts · 2,009 to 2,126
Dec 18, 2023 to Dec 23, 2024
Charity clients · 11 to 14
Dec 18, 2023 to Dec 23, 2024
Corporate clients · 24 to 15
Dec 18, 2023 to Dec 23, 2024
HNW clients · 260 to 311
Dec 18, 2023 to Dec 23, 2024
Individual clients · 582 to 570
Dec 18, 2023 to Dec 23, 2024
State-registered IARs · 13 to 14
Dec 18, 2023 to Dec 23, 2024
Discretionary RAUM · $2.5B to $3.3B
Dec 18, 2023 to Dec 23, 2024
HNW RAUM · $917M to $1.3B
Dec 18, 2023 to Dec 23, 2024
Individual RAUM · $232M to $237M
Dec 18, 2023 to Dec 23, 2024
RAUM · $2.5B to $3.3B
Dec 18, 2023 to Dec 23, 2024
Accounts · 1,855 to 2,009
Dec 21, 2022 to Dec 18, 2023
Advisory employees · 13 to 14
Dec 21, 2022 to Dec 18, 2023
Charity clients · 8 to 11
Dec 21, 2022 to Dec 18, 2023
Corporate clients · 20 to 24
Dec 21, 2022 to Dec 18, 2023
HNW clients · 313 to 260
Dec 21, 2022 to Dec 18, 2023
Individual clients · 499 to 582
Dec 21, 2022 to Dec 18, 2023
Employees · 13 to 14
Dec 21, 2022 to Dec 18, 2023
Discretionary RAUM · $2.3B to $2.5B
Dec 21, 2022 to Dec 18, 2023
HNW RAUM · $901M to $917M
Dec 21, 2022 to Dec 18, 2023
Individual RAUM · $139M to $232M
Dec 21, 2022 to Dec 18, 2023
RAUM · $2.3B to $2.5B
Dec 21, 2022 to Dec 18, 2023
Accounts · 1,701 to 1,855
Dec 23, 2021 to Dec 20, 2022
Advisory employees · 12 to 13
Dec 23, 2021 to Dec 20, 2022
HNW clients · 321 to 313
Dec 23, 2021 to Dec 20, 2022
Individual clients · 427 to 499
Dec 23, 2021 to Dec 20, 2022
Employees · 12 to 13
Dec 23, 2021 to Dec 20, 2022
State-registered IARs · 12 to 13
Dec 23, 2021 to Dec 20, 2022
Discretionary RAUM · $2.4B to $2.3B
Dec 23, 2021 to Dec 20, 2022
HNW RAUM · $1.0B to $901M
Dec 23, 2021 to Dec 20, 2022
Individual RAUM · $111M to $139M
Dec 23, 2021 to Dec 20, 2022
RAUM · $2.4B to $2.3B
Dec 23, 2021 to Dec 20, 2022

Signals

4 dated events

S•••• E•••••••• S••••• left P•••••••• • A••••••• I•• for A•••• (registered 2026-07-24)
Jun 17, 2026 · a•••••• firm change · fact
P•••••••• • A••••••• I•• reported RAUM $3.3B, up 34% from $2.5B (2023-12-18 to 2024-12-23)
Dec 23, 2024 · RAUM change · derived
J••• W•••••• D••••••••• left P•••••••• • A••••••• I•• for A••••••••• W••••• M••••••••• L•• (registered 2022-01-26)
Jan 11, 2022 · a•••••• firm change · fact
P•••••••• • A••••••• I•• reported 12 state-registered a••••••y representatives, up from 0 (2017-12-21 to 2018-12-14)
Dec 14, 2018 · ria a•••••• headcount change · derived

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

Firm profile: linkedin.com/company/pittandreportedpublic record, Form ADV, Sep 18, 2026
Website: pittand.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 402-328-8800reportedpublic record, Form ADV, Jan 7, 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: $217Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026