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

Executive Wealth Management

Former SEC-registered adviserLincoln, NebraskaCRD 281667SEC 801-106910IAPD
Legal name Executive Wealth Management Ltd
Latest filing Mar 14, 2017
First filing on the tape Nov 5, 2015 · 4 filings
RAUM
$308M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$308M as of Mar 14, 2017
Mar 14, 2016$313M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 14, 2017
Mar 14, 201610 then
Employees (5.A)12 as of Mar 14, 2017
Mar 14, 201616 then
Private funds: no history
RAUM -1.7% over the last fiscal yearIARs 10 to 6
Practice profile
derived from the filing of Mar 14, 2017; every figure names its basis
RAUM per advisor
$51.3MderivedRAUM 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
$351,094derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.7%derivedbetween the last two annual amendments
Advisor growth, one year
-40%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 institutions, pension consulting, selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
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
877reported
Financial planning clients
26-50reported
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
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
  • Charles Jeffrey Johnson · Presidentcontrol
    since 12/2004 · owns 75% or more
  • Melissa Shannon Linder · Chief Compliance Officercontrol
    since 09/2015 · owns less than 5%
  • Charles Jeffrey Johnson · Trusteecontrol
    since 10/2011 · owns 75% or more of Jeffrey C. Johnson Trust
Entity owners
  • Jeffrey C. Johnson Trust · Direct Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 976 to 877
    Jun 30, 2016 to Mar 14, 2017
  • Advisory employees · 8 to 5
    Jun 30, 2016 to Mar 14, 2017
  • BD registered reps · 13 to 0
    Jun 30, 2016 to Mar 14, 2017
  • Employees · 16 to 12
    Jun 30, 2016 to Mar 14, 2017
  • Financial planning clients · 1-10 to 26-50
    Jun 30, 2016 to Mar 14, 2017
  • State-registered IARs · 10 to 6
    Jun 30, 2016 to Mar 14, 2017
  • Discretionary RAUM · $313M to $308M
    Jun 30, 2016 to Mar 14, 2017
  • RAUM · $313M to $308M
    Jun 30, 2016 to Mar 14, 2017
  • Advisory activities · 4 to 6
    Mar 14, 2016 to Jun 30, 2016
  • Accounts · 0 to 976
    Nov 5, 2015 to Mar 14, 2016
  • Advisory employees · 7 to 8
    Nov 5, 2015 to Mar 14, 2016
  • BD registered reps · 12 to 13
    Nov 5, 2015 to Mar 14, 2016
  • Insurance-licensed employees · 9 to 0
    Nov 5, 2015 to Mar 14, 2016
  • Financial planning clients · unset to 1-10
    Nov 5, 2015 to Mar 14, 2016
  • State-registered IARs · 9 to 10
    Nov 5, 2015 to Mar 14, 2016
  • Discretionary RAUM · $0 to $313M
    Nov 5, 2015 to Mar 14, 2016
  • RAUM · $0 to $313M
    Nov 5, 2015 to Mar 14, 2016
Signals
1 dated events
  • Executive Wealth Management filed its initial SEC registration (Form ADV)
    Nov 5, 2015 · 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