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.

Former SEC-registered adviser

First National Capital Markets, Inc.

Former SEC-registered adviserOmaha, NebraskaCRD 115920SEC 801-71101IAPD
Latest filing Jun 25, 2015
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$139M
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
40
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$754M as of Mar 19, 2015
Mar 30, 2012$647M then
HNW client RAUM: no history
State-registered IARs (5.B.3)40 as of Mar 19, 2015
Mar 30, 20120 then
Employees (5.A)70 as of Mar 19, 2015
Apr 1, 201370 then
Private funds: no history
RAUM -80% over the last fiscal year-40% a year over threeIARs 40 to 5
Practice profile
derived from the filing of Jun 25, 2015; every figure names its basis
RAUM per advisor
$27.8MderivedRAUM 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
$142,564derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+10%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
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
975reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
Joined, latest
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
    • Nicholas Walker Baxter · Secretarycontrol
      since 05/2005 · owns less than 5%
    • David Earl Jr Cota · President And Directorcontrol
      since 09/2001 · owns less than 5%
    • Danielle Dee Hampton · Chief Compliance Officercontrol
      since 08/2014 · owns less than 5%
    • Elizabeth A. Musser · Financial Principal/Treasurercontrol
      since 08/2014 · owns less than 5%
    • Maureen Oconnor · Assistant Secretarycontrol
      since 09/2001 · owns less than 5%
    • Greg Alan Schilling · Directorcontrol
      since 12/2008 · owns less than 5%
    • Stephen Curtis Wade · Directorcontrol
      since 03/2014 · owns less than 5%
    Entity owners
    • First National Investment Banking, Inc. · Direct Owner
      direct · owns 75% or more
    • First National Of Nebraska, Inc. · Direct Owner
      indirect · owns 75% or more of First National Investment Banking, Inc.
    • Lauritzen Corporation · Direct Owner
      indirect · owns 25% to 50% of First National Of Nebraska, Inc.
    Related persons
    Schedule D 7.A
    Advisers that list First National Capital Markets, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Omaha, NE
    What changed
    consecutive filings, newest first
    • Accounts · 12,501 to 975
      Mar 19, 2015 to Jun 25, 2015
    • Advisory employees · 20 to 5
      Mar 19, 2015 to Jun 25, 2015
    • Advisory activities · 4 to 2
      Mar 19, 2015 to Jun 25, 2015
    • BD registered reps · 60 to 30
      Mar 19, 2015 to Jun 25, 2015
    • Employees · 70 to 40
      Mar 19, 2015 to Jun 25, 2015
    • Financial planning clients · 1-10 to unset
      Mar 19, 2015 to Jun 25, 2015
    • State-registered IARs · 40 to 5
      Mar 19, 2015 to Jun 25, 2015
    • Discretionary RAUM · $126M to $139M
      Mar 19, 2015 to Jun 25, 2015
    • Non-discretionary RAUM · $628M to $0
      Mar 19, 2015 to Jun 25, 2015
    • RAUM · $754M to $139M
      Mar 19, 2015 to Jun 25, 2015
    • Accounts · 12,500 to 12,501
      Sep 3, 2014 to Mar 19, 2015
    • Financial planning clients · 0 to 1-10
      Sep 3, 2014 to Mar 19, 2015
    • Discretionary RAUM · $85.0M to $126M
      Sep 3, 2014 to Mar 19, 2015
    • Non-discretionary RAUM · $599M to $628M
      Sep 3, 2014 to Mar 19, 2015
    • RAUM · $684M to $754M
      Sep 3, 2014 to Mar 19, 2015
    • Related broker-dealer · true to false
      Sep 3, 2014 to Mar 19, 2015
    • Accounts · 12,549 to 12,500
      Jan 2, 2014 to Mar 26, 2014
    • Discretionary RAUM · $32.4M to $85.0M
      Jan 2, 2014 to Mar 26, 2014
    • Non-discretionary RAUM · $629M to $599M
      Jan 2, 2014 to Mar 26, 2014
    • RAUM · $662M to $684M
      Jan 2, 2014 to Mar 26, 2014
    • Accounts · 12,980 to 12,549
      Jan 3, 2013 to Apr 1, 2013
    • Financial planning clients · 1-10 to 0
      Jan 3, 2013 to Apr 1, 2013
    • Discretionary RAUM · $22.1M to $32.4M
      Jan 3, 2013 to Apr 1, 2013
    • Non-discretionary RAUM · $625M to $629M
      Jan 3, 2013 to Apr 1, 2013
    • RAUM · $647M to $662M
      Jan 3, 2013 to Apr 1, 2013
    • Advisory employees · unset to 20.0
      Mar 30, 2012 to Jan 3, 2013
    • BD registered reps · unset to 60.0
      Mar 30, 2012 to Jan 3, 2013
    • Employees · unset to 70.0
      Mar 30, 2012 to Jan 3, 2013
    • State-registered IARs · 0 to 40
      Mar 30, 2012 to Jan 3, 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