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
C••••••••• F•••••••• G••••••••
Latest filing Jun 8, 2026
First filing on the tape Feb 28, 2012 · 8 filings
SEC status approved since Jun 16, 2025
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$279M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$292M as of Jun 8, 2026
Feb 28, 2012$55.9M then
HNW client RAUM$232M as of Jun 8, 2026
Jun 16, 2025$178M then
State-registered IARs (5.B.3)5 as of Jun 8, 2026
Feb 28, 20120 then
Employees (5.A)7 as of Jun 8, 2026
Jun 16, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 8, 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
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $307,619derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $207M, 253 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)
- 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$232M79%
- Individuals$47.3M16%
- Corporations and businesses$10.7M3.7%
- Charitable organizations$2.3M0.8%
- Individual clients
- 249reported
- HNW clients
- 96reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 950reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 253 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• D••• H••••• | Omaha, Ne | Dec 26, 2000 | 30 y | 0 |
| S•••••• D••• S•••••••••Certified Financial Planner | Omaha, Ne | Jul 9, 2018 | 11 y | 2 |
| R••••• J••••• B•••••Certified Financial Planner | Omaha, Ne | Feb 4, 2024 | 15 y | 2 |
| A•••••• N••••• C•••••Certified Financial Planner | Omaha, Ne | Feb 6, 2024 | 12 y | 2 |
| J•••• L••••• B••••• | Omaha, Ne | Feb 12, 2025 | 13 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
none on the tape
Joined, latest
- A•••••• N••••• C••••• from C••••••• F•••••••• P•••••••Feb 6, 2024 · Other
- R••••• J••••• B••••• from C••••••• F•••••••• P•••••••Feb 4, 2024 · Other
- S•••••• D••• S••••••••• from C••••••• F•••••••• P••••••• C••••••Jul 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• D•••• R••••• · Chief Compliance Officer/LLC Membercontrolsince 01/1996 · owns 50% to 75%
- H•••••• D•••• · LLC Membercontrolsince 01/1996 · owns 50% to 75%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 872 to 950Aug 7, 2025 to Mar 25, 2026
- Charity clients · unset to 1.0Aug 7, 2025 to Mar 25, 2026
- Corporate clients · unset to 3.0Aug 7, 2025 to Mar 25, 2026
- HNW clients · 69 to 96Aug 7, 2025 to Mar 25, 2026
- Individual clients · 258 to 249Aug 7, 2025 to Mar 25, 2026
- Assets in custody · $232M to $207MAug 7, 2025 to Mar 25, 2026
- Employees · 6 to 7Aug 7, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 1-10Aug 7, 2025 to Mar 25, 2026
- Other offices · 2 to 4Aug 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $247M to $292MAug 7, 2025 to Mar 25, 2026
- HNW RAUM · $178M to $232MAug 7, 2025 to Mar 25, 2026
- Individual RAUM · $57.6M to $47.3MAug 7, 2025 to Mar 25, 2026
- RAUM · $247M to $292MAug 7, 2025 to Mar 25, 2026
- Assets in custody · unset to 231753000.0Jun 16, 2025 to Aug 7, 2025
- Custody of client assets · false to trueJun 16, 2025 to Aug 7, 2025
- Accounts · 372 to 872Mar 28, 2012 to Jun 16, 2025
- Advisory employees · unset to 5.0Mar 28, 2012 to Jun 16, 2025
- HNW clients · unset to 69.0Mar 28, 2012 to Jun 16, 2025
- Individual clients · unset to 258.0Mar 28, 2012 to Jun 16, 2025
- Pension plan clients · unset to 0.0Mar 28, 2012 to Jun 16, 2025
- Pooled vehicle clients · unset to 0.0Mar 28, 2012 to Jun 16, 2025
- Employees · unset to 6.0Mar 28, 2012 to Jun 16, 2025
- Financial planning clients · 0 to 101-250Mar 28, 2012 to Jun 16, 2025
- State-registered IARs · 0 to 5Mar 28, 2012 to Jun 16, 2025
- Other offices · unset to 2.0Mar 28, 2012 to Jun 16, 2025
- Discretionary RAUM · $55.9M to $247MMar 28, 2012 to Jun 16, 2025
- HNW RAUM · unset to 177584323.0Mar 28, 2012 to Jun 16, 2025
- Individual RAUM · unset to 57619819.0Mar 28, 2012 to Jun 16, 2025
- Pension RAUM · unset to 0.0Mar 28, 2012 to Jun 16, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2012 to Jun 16, 2025
- RAUM · $55.9M to $247MMar 28, 2012 to Jun 16, 2025
- Advisory activities · 4 to 3Feb 28, 2012 to Mar 23, 2012
Signals
1 dated events
- C••••••••• F•••••••• G•••••••• reported RAUM $247.0M, up 342% from $55.9M (2012-03-28 to 2025-06-16)Jun 16, 2025 · RAUM 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
- Business email
- team@cornerstonefinancialgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-337-7059reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 303-222-7100reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 402-758-0700reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- cornerstonefinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-758-0700reportedpublic record, Form ADV, Jun 8, 2026
- Contact form
- cornerstonefinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026