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
J•• I••••••••• C•••••••
Legal name J•• I••••••••• C••••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2012 · 19 filings
SEC status approved since Jan 30, 2006
RAUM
$649M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$290M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$216M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$649M as of Mar 31, 2026
Mar 12, 2012$167M then
HNW client RAUM$284M as of Mar 31, 2026
Mar 28, 2018$132M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 12, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 11, 20131 then
Private funds: no history
RAUM +19% over the last fiscal year-2.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $216MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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
- Corporations and businesses$359M55%
- High-net-worth individuals$284M44%
- Individuals$5.2M0.8%
- Pension and profit-sharing plans$1.1M0.2%
- Individual clients
- 21reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 219reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R••••• M•••••••• | Omaha, Ne | Jan 28, 2006 | 26 y | 0 |
| P••• T••••• M••••••••Certified Financial Planner | Omaha, Ne | Aug 6, 2013 | 20 y | 2 |
| L••••• M•••• M•••••••• | Omaha, Ne | Apr 20, 2018 | 14 y | 1 |
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
- L••••• M•••• M•••••••• from L•••••• I••••••••• A•••••••• L••Apr 20, 2018 · Other
- P••• T••••• M•••••••• from T• A••••••••• I••••••••• M••••••••• L••Aug 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••• R••••• · Managing Member And Presidentcontrolsince 10/2005 · owns 25% to 50%
- M••••••••• L•••••• M•••• · Vice Presidentcontrolsince 04/2018 · owns 25% to 50%
- M••••••••• P•••• T••••• · Chief Compliance Officercontrolsince 03/2016 · 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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 76 to 219Mar 27, 2025 to Mar 31, 2026
- Corporate clients · 4.0 to unsetMar 27, 2025 to Mar 31, 2026
- HNW clients · 48 to 54Mar 27, 2025 to Mar 31, 2026
- Individual clients · 22 to 21Mar 27, 2025 to Mar 31, 2026
- Pension plan clients · 1.0 to unsetMar 27, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 26-50Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $545M to $649MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $226M to $284MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $5.7M to $5.2MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $970,915 to $1.1MMar 27, 2025 to Mar 31, 2026
- RAUM · $545M to $649MMar 27, 2025 to Mar 31, 2026
- Accounts · 184 to 76Mar 22, 2024 to Mar 27, 2025
- Corporate clients · 5 to 4Mar 22, 2024 to Mar 27, 2025
- HNW clients · 53 to 48Mar 22, 2024 to Mar 27, 2025
- Individual clients · 15 to 22Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 27, 2025
- HQ city · unset to Mar 22, 2024 to Mar 27, 2025
- HQ state · unset to Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $742M to $545MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $228M to $226MMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $5.0M to $5.7MMar 22, 2024 to Mar 27, 2025
- Pension RAUM · $726,021 to $970,915Mar 22, 2024 to Mar 27, 2025
- RAUM · $742M to $545MMar 22, 2024 to Mar 27, 2025
- Accounts · 82 to 184Mar 31, 2023 to Mar 22, 2024
- Corporate clients · 7 to 5Mar 31, 2023 to Mar 22, 2024
- HNW clients · 32 to 53Mar 31, 2023 to Mar 22, 2024
- Individual clients · 40 to 15Mar 31, 2023 to Mar 22, 2024
- Financial planning clients · 11-25 to 1-10Mar 31, 2023 to Mar 22, 2024
- Discretionary RAUM · $709M to $742MMar 31, 2023 to Mar 22, 2024
- HNW RAUM · $197M to $228MMar 31, 2023 to Mar 22, 2024
- Individual RAUM · $15.4M to $5.0MMar 31, 2023 to Mar 22, 2024
- Pension RAUM · $463,642 to $726,021Mar 31, 2023 to Mar 22, 2024
- RAUM · $709M to $742MMar 31, 2023 to Mar 22, 2024
- Accounts · 172 to 82Mar 28, 2022 to Mar 31, 2023
- Corporate clients · 5 to 7Mar 28, 2022 to Mar 31, 2023
- HNW clients · 44 to 32Mar 28, 2022 to Mar 31, 2023
- Individual clients · 15 to 40Mar 28, 2022 to Mar 31, 2023
- Pension plan clients · unset to 1.0Mar 28, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 11-25Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $812M to $709MMar 28, 2022 to Mar 31, 2023
Signals
3 dated events
- J•• I••••••••• C••••••• reported RAUM $545.3M, down 27% from $742.0M (2024-03-22 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- J•• I••••••••• C••••••• reported RAUM $812.2M, up 29% from $631.1M (2021-05-21 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Marie Lauren Mcdonnell (Vice President) appeared on Schedule A of J•• I••••••••• C•••••••Mar 29, 2019 · Control person joined · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-884-3737reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $216Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026