DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N••••••••• I••••••••• M••••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Mar 20, 2012 · 11 filings
SEC status approved since Mar 27, 2020
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$256M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$258M as of Mar 6, 2026
Mar 20, 2012$43.0M then
HNW client RAUM$243M as of Mar 6, 2026
Mar 29, 2021$143M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 29, 20211 then
Employees (5.A)3 as of Mar 6, 2026
Mar 29, 20213 then
Private funds: no history
RAUM +8.7% over the last fiscal year+13% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $74.5M, 41 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M94%
- Individuals$13.3M5.1%
- Pension and profit-sharing plans$1.1M0.4%
- Charitable organizations$995,3310.4%
- Individual clients
- 45reported
- HNW clients
- 42reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 217reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.5M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L•• J•••••Certified Financial Planner | Omaha, Ne | Oct 15, 2001 | 29 y | 0 |
| J••••••• A•• J•••••••• | Sidney, Ia | Jan 10, 2022 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• R••••• N••••• to P••••••••• A••••••• G••••Jul 2, 2007 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• R••••••• L•• · President/Chief Compliance Officercontrolsince 02/2006 · owns 50% to 75%
- N•••••• D••••• R••••• · Vice-Presidentcontrolsince 02/2006 · 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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW clients · 36 to 42Feb 18, 2025 to Mar 6, 2026
- Individual clients · 53 to 45Feb 18, 2025 to Mar 6, 2026
- Pension plan clients · 2 to 4Feb 18, 2025 to Mar 6, 2026
- Assets in custody · $73.9M to $74.5MFeb 18, 2025 to Mar 6, 2026
- Financial planning clients · 1-10 to 11-25Feb 18, 2025 to Mar 6, 2026
- Other offices · 1 to 2Feb 18, 2025 to Mar 6, 2026
- Discretionary RAUM · $238M to $258MFeb 18, 2025 to Mar 6, 2026
- HNW RAUM · $220M to $243MFeb 18, 2025 to Mar 6, 2026
- Individual RAUM · $16.1M to $13.3MFeb 18, 2025 to Mar 6, 2026
- Pension RAUM · $943,125 to $1.1MFeb 18, 2025 to Mar 6, 2026
- RAUM · $238M to $258MFeb 18, 2025 to Mar 6, 2026
- Accounts · 213 to 217Feb 23, 2024 to Feb 18, 2025
- Charity clients · unset to 1.0Feb 23, 2024 to Feb 18, 2025
- HNW clients · 32 to 36Feb 23, 2024 to Feb 18, 2025
- Individual clients · 59 to 53Feb 23, 2024 to Feb 18, 2025
- Pension plan clients · unset to 2.0Feb 23, 2024 to Feb 18, 2025
- Assets in custody · $113M to $73.9MFeb 23, 2024 to Feb 18, 2025
- Financial planning clients · 11-25 to 1-10Feb 23, 2024 to Feb 18, 2025
- Discretionary RAUM · $206M to $238MFeb 23, 2024 to Feb 18, 2025
- HNW RAUM · $188M to $220MFeb 23, 2024 to Feb 18, 2025
- Individual RAUM · $16.4M to $16.1MFeb 23, 2024 to Feb 18, 2025
- Pension RAUM · $713,055 to $943,125Feb 23, 2024 to Feb 18, 2025
- RAUM · $206M to $238MFeb 23, 2024 to Feb 18, 2025
- Accounts · 219 to 213Feb 1, 2023 to Feb 23, 2024
- Corporate clients · unset to 0.0Feb 1, 2023 to Feb 23, 2024
- HNW clients · 29 to 32Feb 1, 2023 to Feb 23, 2024
- Pension plan clients · 0.0 to unsetFeb 1, 2023 to Feb 23, 2024
- Assets in custody · unset to 113105205.0Feb 1, 2023 to Feb 23, 2024
- Custody of client assets · false to trueFeb 1, 2023 to Feb 23, 2024
- Financial planning clients · 1-10 to 11-25Feb 1, 2023 to Feb 23, 2024
- Discretionary RAUM · $177M to $206MFeb 1, 2023 to Feb 23, 2024
- HNW RAUM · $157M to $188MFeb 1, 2023 to Feb 23, 2024
- Individual RAUM · $18.3M to $16.4MFeb 1, 2023 to Feb 23, 2024
- Pension RAUM · $0 to $713,055Feb 1, 2023 to Feb 23, 2024
- RAUM · $177M to $206MFeb 1, 2023 to Feb 23, 2024
- Accounts · 213 to 219Mar 14, 2022 to Feb 1, 2023
- Individual clients · 58 to 59Mar 14, 2022 to Feb 1, 2023
- Discretionary RAUM · $201M to $177MMar 14, 2022 to Feb 1, 2023
- HNW RAUM · $179M to $157MMar 14, 2022 to Feb 1, 2023
- Individual RAUM · $19.4M to $18.3MMar 14, 2022 to Feb 1, 2023
Signals
1 dated events
- N••••••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 28, 2020 · First SEC registration · 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
- 402-819-4688reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 402-391-1021reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N•••••J•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 402-391-1021reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026