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

Ameritas Advisory Services

Former SEC-registered adviserLincoln, NebraskaCRD 14869SEC 801-IAPD
Legal name Ameritas Investment Company, LLC
Latest filing Oct 28, 2021
First filing on the tape Mar 30, 2012 · 59 filings
RAUM
$7.8B
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
94%
$7.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
611
517 advisory (5.B.1)
Offices
243
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$7.8B as of Mar 30, 2021
Mar 30, 2012$1.9B then
HNW client RAUM$2.6B as of Mar 30, 2021
Mar 29, 2018$401M then
State-registered IARs (5.B.3)577 as of Mar 30, 2021
Mar 28, 2013641 then
Employees (5.A)611 as of Mar 30, 2021
Mar 28, 2013770 then
Private funds: no history
RAUM -16% over the last fiscal year+22% a year over threeIARs 554 to 577
Practice profile
derived from the filing of Oct 28, 2021; every figure names its basis
RAUM per advisor
$13.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$277,631derivedRAUM over accounts (5.F.2.f)
Discretionary
40%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
2.4derived244 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+4.2%derivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
$1.1BreportedItem 5.I
Custody
$5.5B, 12,689 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$4.7B61%
  • High-net-worth individuals$2.6B33%
  • Corporations and businesses$368M4.7%
  • Pension and profit-sharing plans$39.8M0.5%
  • Charitable organizations$36.7M0.5%
  • Insurance companies$19.2M0.2%
  • State and municipal entities$827,6360.0%
Individual clients
20,584reported
HNW clients
1,226reported
Pension plan clients
42reported
Charitable clients
36reported
Accounts
27,982reported
Financial planning clients
1,000reported
Wrap fee programs
$174M sponsored, $0 managedreported
Custody of client assets
$5.5B for 12,689 clientsreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
  • Ryan Charles Beasley · Member Board Of Directorscontrol
    since 12/2019 · owns less than 5%
  • Connie Sue Grosser · Vice President - Wealth Management & Investment Servicescontrol
    since 12/2018 · owns less than 5%
  • Matthew John Kinsella · Vice President & Chief Compliance Officercontrol
    since 10/2020 · owns less than 5%
  • Brent Frazier Korte · Member Board Of Directorscontrol
    since 04/2017 · owns less than 5%
  • Heather Jill Nagengast · Presidentcontrol
    since 08/2021 · owns less than 5%
  • Christine Miller Neighbors · Corporate Secretarycontrol
    since 12/2019 · owns less than 5%
  • Maria Elizabeth Sherffius · Second Vice President - Compliance Officercontrol
    since 07/2006 · owns less than 5%
  • Susan Kay Wilkinson · Member Board Of Directorscontrol
    since 09/2020 · owns less than 5%
  • Gerald Quintin Herbert · Financial And Operations Principal
    since 10/2018 · owns less than 5%
Entity owners
  • Ameritas Life Insurance Corp. · Beneficial Owner
    direct · owns 75% or more
  • Ameritas Holding Company · Owner
    indirect · owns 75% or more of Ameritas Life Insurance Corp.
  • Ameritas Mutual Holding Company · Owner
    indirect · owns 75% or more of Ameritas Holding Company
Related persons
Schedule D 7.A
  • Ameritas Investment Partners, Inc.
    investment adviserbankLP sponsornRAUM $29B
  • Ameritas Life Insurance Corp Of New York
    real estaten
  • Ameritas Life Insurance Corp.
    real estatey
  • Variable Contract Agency, LLC
    real estaten
Advisers that list Ameritas Advisory Services as a related person
Offices
Schedule D 1.F, the 25 largest
  • San Ramon, CA21 employees
  • Overland Park, KS18 employees
  • Perrysburg, OH13 employees
  • Cincinnati, OH13 employees
  • Melville, NY12 employees
  • Homewood, AL10 employees
  • Lincoln, NE10 employees
  • San Francisco, CA9 employees
  • Lincoln, NE8 employees
  • Omaha, NE8 employees
  • Dallas, TX8 employees
  • Wayne, PA7 employees
  • Pittsburgh, PA6 employees
  • Virginia Beach, VA6 employees
  • Folsom, CA6 employees
  • Boca Raton, FL6 employees
  • Carmel, IN5 employees
  • San Jose, CA5 employees
  • Flagstaff, AZ5 employees
  • Worthington, OH5 employees
  • Memphis, TN5 employees
  • Chesterfield, MO5 employees
  • Greensboro, NC5 employees
  • Fremont, NE4 employees
  • Indiana, PA4 employees
What changed
consecutive filings, newest first
  • Accounts · 31,262 to 27,982
    Mar 29, 2021 to Mar 30, 2021
  • Advisory employees · 513 to 517
    Mar 29, 2021 to Mar 30, 2021
  • BD registered reps · 584 to 588
    Mar 29, 2021 to Mar 30, 2021
  • Charity clients · 98 to 36
    Mar 29, 2021 to Mar 30, 2021
  • Corporate clients · 562 to 185
    Mar 29, 2021 to Mar 30, 2021
  • HNW clients · 1,087 to 1,226
    Mar 29, 2021 to Mar 30, 2021
  • Individual clients · 30,176 to 20,584
    Mar 29, 2021 to Mar 30, 2021
  • Pension plan clients · 1,687 to 42
    Mar 29, 2021 to Mar 30, 2021
  • Assets in custody · $5.6B to $5.5B
    Mar 29, 2021 to Mar 30, 2021
  • Employees · 604 to 611
    Mar 29, 2021 to Mar 30, 2021
  • Insurance-licensed employees · 4 to 5
    Mar 29, 2021 to Mar 30, 2021
  • State-registered IARs · 554 to 577
    Mar 29, 2021 to Mar 30, 2021
  • Discretionary RAUM · $2.1B to $3.1B
    Mar 29, 2021 to Mar 30, 2021
  • HNW RAUM · $2.3B to $2.6B
    Mar 29, 2021 to Mar 30, 2021
  • Individual RAUM · $5.8B to $4.7B
    Mar 29, 2021 to Mar 30, 2021
  • Non-discretionary RAUM · $7.2B to $4.6B
    Mar 29, 2021 to Mar 30, 2021
  • Pension RAUM · $97.0M to $39.8M
    Mar 29, 2021 to Mar 30, 2021
  • RAUM · $9.3B to $7.8B
    Mar 29, 2021 to Mar 30, 2021
  • Related broker-dealer · false to true
    Mar 29, 2021 to Mar 30, 2021
  • Wrap assets (sponsor) · $126M to $174M
    Mar 29, 2021 to Mar 30, 2021
  • Accounts · 22,293 to 31,262
    Feb 12, 2020 to Mar 31, 2020
  • Advisory employees · 519 to 513
    Feb 12, 2020 to Mar 31, 2020
  • BD registered reps · 519 to 584
    Feb 12, 2020 to Mar 31, 2020
  • Charity clients · 7 to 98
    Feb 12, 2020 to Mar 31, 2020
  • Corporate clients · 101 to 562
    Feb 12, 2020 to Mar 31, 2020
  • HNW clients · 863 to 1,087
    Feb 12, 2020 to Mar 31, 2020
  • Individual clients · 12,499 to 30,176
    Feb 12, 2020 to Mar 31, 2020
  • Pension plan clients · 516 to 1,687
    Feb 12, 2020 to Mar 31, 2020
  • Commission compensation · false to true
    Feb 12, 2020 to Mar 31, 2020
  • Assets in custody · $3.5B to $5.6B
    Feb 12, 2020 to Mar 31, 2020
  • Employees · 626 to 604
    Feb 12, 2020 to Mar 31, 2020
  • Insurance-licensed employees · 5 to 4
    Feb 12, 2020 to Mar 31, 2020
  • State-registered IARs · 138 to 554
    Feb 12, 2020 to Mar 31, 2020
  • Legal name · AMERITAS INVESTMENT COMPLANY, LLC to AMERITAS INVESTMENT COMPANY, LLC
    Feb 12, 2020 to Mar 31, 2020
  • Other offices · 305 to 243
    Feb 12, 2020 to Mar 31, 2020
  • Organization form · Corporation to Limited Liability Company
    Feb 12, 2020 to Mar 31, 2020
  • Discretionary RAUM · $1.1B to $2.1B
    Feb 12, 2020 to Mar 31, 2020
  • HNW RAUM · $1.8B to $2.3B
    Feb 12, 2020 to Mar 31, 2020
  • Individual RAUM · $3.1B to $5.8B
    Feb 12, 2020 to Mar 31, 2020
  • Non-discretionary RAUM · $4.1B to $7.2B
    Feb 12, 2020 to Mar 31, 2020
Signals
20 dated events
  • 2 advisors left Wilcox Financial, Inc. (Toledo, OH) for Ameritas Advisory Services on the same day
    Sep 16, 2024 · Team lift-out · derived
  • Kurt Joseph Shallow (President/Chairman) no longer on Schedule A of Ameritas Advisory Services (listed 2021-04-29, absent 2021-08-27)
    Aug 27, 2021 · Control person left · inference
  • Deidre Dawn Cadwell (Vice President - Operations) no longer on Schedule A of Ameritas Advisory Services (listed 2020-11-19, absent 2020-12-22)
    Dec 22, 2020 · Control person left · inference
  • Scott Raymond Farmen (Interim Cco And Aml Compliance Officer) no longer on Schedule A of Ameritas Advisory Services (listed 2020-08-31, absent 2020-10-21)
    Oct 21, 2020 · Control person left · inference
  • William Wallace Lester (Director) no longer on Schedule A of Ameritas Advisory Services (listed 2020-08-31, absent 2020-10-21)
    Oct 21, 2020 · Control person left · inference
  • Susan Kay Wilkinson (Member Board Of Directors) appeared on Schedule A of Ameritas Advisory Services
    Oct 21, 2020 · Control person joined · fact
  • Matthew John Kinsella (Vice President & Chief Compliance Officer) appeared on Schedule A of Ameritas Advisory Services
    Oct 21, 2020 · Control person joined · fact
  • James Edmond Clements (Vice President, Chief Compliance Officer & Risk Management) no longer on Schedule A of Ameritas Advisory Services (listed 2020-06-30, absent 2020-08-05)
    Aug 5, 2020 · Control person left · inference
  • Ameritas Advisory Services reported 243 offices beyond its principal office, down from 305 (2020-02-12 to 2020-03-31)
    Mar 31, 2020 · Office count change · derived
  • Ameritas Advisory Services reported 554 state-registered advisory representatives, up from 138 (2020-02-12 to 2020-03-31)
    Mar 31, 2020 · Advisor headcount change · derived
  • Ameritas Advisory Services reported RAUM $9.3B, up 78% from $5.2B (2020-02-12 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Ameritas Advisory Services reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Feb 11, 2020 · Succession (Item 4) · fact
  • Christine Miller Neighbors (Corporate Secretary) appeared on Schedule A of Ameritas Advisory Services
    Dec 12, 2019 · Control person joined · fact
  • Robert John Hamilton Sands (Corporate Secretary) no longer on Schedule A of Ameritas Advisory Services (listed 2019-09-26, absent 2019-12-12)
    Dec 12, 2019 · Control person left · inference
  • Kurt Joseph Shallow (President) appeared on Schedule A of Ameritas Advisory Services
    Dec 12, 2019 · Control person joined · fact
  • Heather Jill Jansen (Sr Vice President Operations) appeared on Schedule A of Ameritas Advisory Services
    Sep 26, 2019 · Control person joined · fact
  • Ameritas Advisory Services reported 138 state-registered advisory representatives, down from 603 (2019-01-31 to 2019-03-30)
    Mar 30, 2019 · Advisor headcount change · derived
  • Cheryl Lynn Heilman (President) no longer on Schedule A of Ameritas Advisory Services (listed 2018-12-19, absent 2019-01-31)
    Jan 31, 2019 · Control person left · inference
  • Ameritas Advisory Services reported RAUM $4.3B, up 50% from $2.9B (2017-12-06 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
  • Ameritas Advisory Services reported 305 offices beyond its principal office, down from 316 (2017-12-06 to 2018-03-29)
    Mar 29, 2018 · Office count change · derived
Across DFX
shared identifiers only, never a name match
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