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.
SEC-registered adviser
Ellerbrock-Norris Wealth Strategies LLC
Latest filing Jun 17, 2026
First filing on the tape Apr 14, 2025 · 3 filings
SEC status approved since May 15, 2025
RAUM
$172M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
92%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$172M as of Jun 17, 2026
Apr 14, 2025$111M then
HNW client RAUM$141M as of Jun 17, 2026
Apr 14, 2025$83.6M then
State-registered IARs (5.B.3)2 as of Jun 17, 2026
Apr 14, 20253 then
Employees (5.A)2 as of Jun 17, 2026
Apr 14, 20253 then
Private funds: no history
RAUM +55% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Jun 17, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $85.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $501,809derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- High-net-worth individuals$141M82%
- Individuals$16.8M9.8%
- Pension and profit-sharing plans$14.3M8.3%
- Individual clients
- 35reported
- HNW clients
- 39reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 342reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ryan Lee Brott | Omaha, Ne | May 22, 2018 | 15 y | 4 |
| Benjamin Edward Woods | Omaha, Ne | Jan 19, 2021 | 27 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- Seth Cave to Northwestern Mutual Investment Services,LLCJun 17, 2026 · Other
- Benjamin G Hanssen to Allen Capital Group, LLCJan 5, 2023 · RIA to RIA
- Jamie Lynn Slaughter to Buckingham Strategic Wealth, LLCFeb 19, 2021 · RIA to RIA
Joined, latest
- Seth Cave from Raymond James & Associates, Inc.Apr 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- Benjamin G Hanssen from Raymond James Financial Services Advisors, IncMar 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- Jamie Lynn Slaughter from Buckingham Strategic Wealth, LLCJun 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- Ryan Lee Brott from Td Ameritrade Investment Management, LLCMay 22, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Ryan Brott · Director & Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
Entity owners
- Ellerbrock-Norris Agency, Inc. · Memberdirect · owns 75% or more
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 | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 17, 2026discretionary share of RAUM moved from 0.0% to 84.0% between the annual amendments of 2025-04-14 and 2026-02-17peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Feb 17, 2026RAUM (Item 5.F) moved from $110,551,716 to $171,618,658 (+55.0%) between the annual amendments of 2025-04-14 and 2026-02-17; the peer median change was +15.0% (4551 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 96% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 17, 2026 to Jun 17, 2026
- Employees · 3 to 2Feb 17, 2026 to Jun 17, 2026
- State-registered IARs · 3 to 2Feb 17, 2026 to Jun 17, 2026
- Accounts · 277 to 342Apr 14, 2025 to Feb 17, 2026
- HNW clients · 25 to 39Apr 14, 2025 to Feb 17, 2026
- Individual clients · 40 to 35Apr 14, 2025 to Feb 17, 2026
- Pension plan clients · 9 to 11Apr 14, 2025 to Feb 17, 2026
- Discretionary RAUM · $0 to $144MApr 14, 2025 to Feb 17, 2026
- HNW RAUM · $83.6M to $141MApr 14, 2025 to Feb 17, 2026
- Individual RAUM · $16.4M to $16.8MApr 14, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $111M to $27.2MApr 14, 2025 to Feb 17, 2026
- Pension RAUM · $10.6M to $14.3MApr 14, 2025 to Feb 17, 2026
- RAUM · $111M to $172MApr 14, 2025 to Feb 17, 2026
Signals
2 dated events
- Seth Cave left Ellerbrock-Norris Wealth Strategies Llc for Northwestern Mutual Investment Services,Llc (registered 2026-09-11)Jun 17, 2026 · Advisor changed firm · fact
- Benjamin G Hanssen left Ellerbrock-Norris Wealth Strategies Llc for Allen Capital Group, Llc (registered 2023-01-26)Jan 5, 2023 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/ellerbrock-norris-wealth-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- en-ws.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (402) 884-1320reportedpublic record, Form ADV, Jun 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
- $85.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026