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

Callahan Financial Planning Company

Former SEC-registered adviserOmaha, NebraskaCRD 153050SEC 801-111701IAPD
Latest filing Jul 26, 2021
First filing on the tape Aug 17, 2017 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$174M as of Sep 23, 2020
Dec 12, 2017$103M then
HNW client RAUM$113M as of Sep 23, 2020
Dec 12, 2017$64.4M then
State-registered IARs (5.B.3)5 as of Jul 26, 2021
Dec 12, 20174 then
Employees (5.A)9 as of Jul 26, 2021
Dec 12, 20174 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 5offices 6 to 11
Practice profile
derived from the filing of Jul 26, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
0.4derived12 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, hourly, fixed feesreportedItem 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
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
n/areported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J Reuben Brauer · Vice President, Financial Planningcontrol
    since 07/2019 · owns less than 5%
  • Alan William Callahan · President, Chief Investment Officercontrol
    since 02/2010 · owns 75% or more
  • Nicole Allison Cerven · Chief Compliance Officer, Financial Plannercontrol
    since 08/2017 · owns less than 5%
Related persons
Schedule D 7.A
  • Diana M. Lopez
    insurancen
  • Shiawtian Chen
    insurancen
  • Thomas J. Murphy IV
    insurancen
Offices
Schedule D 1.F, the 25 largest
  • Lincoln, NE3 employees
  • Burlingame, CA2 employees
  • San Francisco, CA2 employees
  • San Francisco, CA2 employees
  • San Rafael, CA2 employees
  • Mill Valley, CA2 employees
  • Palo Alto, CA2 employees
  • Denver, CO1 employees
  • Centennial, CO1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 756.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • HNW clients · 75.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • Individual clients · 106.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • Employees · 7 to 9
    Apr 30, 2021 to Jul 26, 2021
  • Insurance-licensed employees · 0 to 5
    Apr 30, 2021 to Jul 26, 2021
  • Discretionary RAUM · 222366856.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • HNW RAUM · 167996019.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • Individual RAUM · 50422699.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • Non-discretionary RAUM · 2561036.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • RAUM · 224927892.0 to unset
    Apr 30, 2021 to Jul 26, 2021
  • Accounts · 714 to 756
    Sep 23, 2020 to Apr 30, 2021
  • HNW clients · 55 to 75
    Sep 23, 2020 to Apr 30, 2021
  • Individual clients · 119 to 106
    Sep 23, 2020 to Apr 30, 2021
  • Other offices · 6 to 11
    Sep 23, 2020 to Apr 30, 2021
  • Discretionary RAUM · $172M to $222M
    Sep 23, 2020 to Apr 30, 2021
  • HNW RAUM · $113M to $168M
    Sep 23, 2020 to Apr 30, 2021
  • Individual RAUM · $53.4M to $50.4M
    Sep 23, 2020 to Apr 30, 2021
  • Non-discretionary RAUM · $2.1M to $2.6M
    Sep 23, 2020 to Apr 30, 2021
  • RAUM · $174M to $225M
    Sep 23, 2020 to Apr 30, 2021
  • Accounts · 621 to 714
    Aug 17, 2020 to Sep 23, 2020
  • Advisory employees · 3 to 5
    Aug 17, 2020 to Sep 23, 2020
  • HNW clients · 47 to 55
    Aug 17, 2020 to Sep 23, 2020
  • Individual clients · 98 to 119
    Aug 17, 2020 to Sep 23, 2020
  • State-registered IARs · 3 to 5
    Aug 17, 2020 to Sep 23, 2020
  • Discretionary RAUM · $142M to $172M
    Aug 17, 2020 to Sep 23, 2020
  • HNW RAUM · $92.4M to $113M
    Aug 17, 2020 to Sep 23, 2020
  • Individual RAUM · $45.9M to $53.4M
    Aug 17, 2020 to Sep 23, 2020
  • Non-discretionary RAUM · $1.1M to $2.1M
    Aug 17, 2020 to Sep 23, 2020
  • RAUM · $143M to $174M
    Aug 17, 2020 to Sep 23, 2020
  • Other offices · 5 to 6
    Jan 29, 2020 to Apr 30, 2020
  • Other offices · 4 to 5
    Sep 5, 2019 to Jan 29, 2020
  • Accounts · 485 to 621
    Jul 1, 2019 to Sep 5, 2019
  • HNW clients · 38 to 47
    Jul 1, 2019 to Sep 5, 2019
  • Individual clients · 85 to 98
    Jul 1, 2019 to Sep 5, 2019
  • Discretionary RAUM · $123M to $142M
    Jul 1, 2019 to Sep 5, 2019
  • HNW RAUM · $78.5M to $92.4M
    Jul 1, 2019 to Sep 5, 2019
  • Individual RAUM · $39.5M to $45.9M
    Jul 1, 2019 to Sep 5, 2019
  • Non-discretionary RAUM · $0 to $1.1M
    Jul 1, 2019 to Sep 5, 2019
  • RAUM · $123M to $143M
    Jul 1, 2019 to Sep 5, 2019
  • Other offices · 1 to 4
    May 22, 2019 to Jun 11, 2019
Signals
2 dated events
  • Callahan Financial Planning Company reported 11 offices beyond its principal office, up from 6 (2020-09-23 to 2021-04-30)
    Apr 30, 2021 · Office count change · derived
  • Callahan Financial Planning Company filed its initial SEC registration (Form ADV)
    Aug 17, 2017 · 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.
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