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
K••••••• F•••••••• S•••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Mar 13, 2021 · 12 filings
SEC status approved since Apr 14, 2021
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$229M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$34.3M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$240M as of Apr 27, 2026
Mar 23, 2022$131M then
HNW client RAUM$51.3M as of Apr 27, 2026
Mar 23, 2022$42.2M then
State-registered IARs (5.B.3)7 as of Apr 27, 2026
Mar 23, 20225 then
Employees (5.A)11 as of Apr 27, 2026
Mar 23, 20227 then
Private funds: no history
RAUM +25% over the last fiscal year+22% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $34.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $141,782derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $83.2M, 379 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$177M74%
- High-net-worth individuals$51.3M21%
- Corporations and businesses$9.6M4.0%
- Charitable organizations$2.0M0.8%
- Individual clients
- 998reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,695reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.2M for 379 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• J••• L•••••••••Chartered Financial Consultant | Omaha, Ne | Jun 5, 2020 | 40 y | 1 |
| T••••• L•• S•••••Certified Financial Planner | Omaha, Ne | Jun 30, 2020 | 12 y | 1 |
| J••••• N• S•••••Certified Financial Planner | Omaha, Ne | Oct 22, 2020 | 15 y | 1 |
| H••• D•••••••Certified Financial Planner | Omaha, Ne | Jun 15, 2022 | 15 y | 0 |
| L••• R•••• T••••••• | Omaha, Ne | Jan 23, 2024 | 13 y | 2 |
| B••••••• M••••• S•••• | Omaha, Ne | Feb 12, 2026 | 12 y | 0 |
| M••••• W••••••• | Omaha, Ne | Feb 20, 2026 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- D•••••• B•••• P••••••• to C••• L••Jan 9, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- L••• R•••• T••••••• from C••••• I••••••••• A••••••• L••Jan 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• N• S••••• from C••••• A•••••• N••••••• L••Oct 22, 2020 · Affiliated broker-dealer or bank to independent RIA
- T••••• L•• S••••• from C••••• A•••••• N••••••• L••Jun 30, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••••• B•••• P••••••• from C••••• A•••••• N••••••• L••Jun 30, 2020 · Affiliated broker-dealer or bank to independent RIA
- N•••• J••• L••••••••• from C••••• A•••••• N••••••• L••Jun 5, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• A•••••• N••••••• L••Jun 30, 2020 · Omaha, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• N••••• J••• · Managing Member And Ownercontrolsince 06/2020 · owns 75% or more
- P•••••••• D••••••• B•••• · Chief Compliance Officer And Financial Advisorcontrolsince 03/2022 · owns less than 5%
- S•••••• J•••••• N• · Partnercontrolsince 03/2023 · owns 10% to 25%
- S•••••• T•••••• L•• · Partnercontrolsince 03/2023 · owns 10% to 25%
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 | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,530 to 1,695Mar 27, 2025 to Mar 25, 2026
- Advisory employees · 5 to 7Mar 27, 2025 to Mar 25, 2026
- BD registered reps · 4 to 6Mar 27, 2025 to Mar 25, 2026
- Corporate clients · unset to 15.0Mar 27, 2025 to Mar 25, 2026
- HNW clients · 10 to 30Mar 27, 2025 to Mar 25, 2026
- Individual clients · 781 to 998Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $55.9M to $83.2MMar 27, 2025 to Mar 25, 2026
- Employees · 9 to 11Mar 27, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 7Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $193M to $240MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $27.8M to $51.3MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $156M to $177MMar 27, 2025 to Mar 25, 2026
- RAUM · $193M to $240MMar 27, 2025 to Mar 25, 2026
- Accounts · 1,726 to 1,530Jan 31, 2025 to Mar 27, 2025
- Advisory employees · 6 to 5Jan 31, 2025 to Mar 27, 2025
- BD registered reps · 5 to 4Jan 31, 2025 to Mar 27, 2025
- HNW clients · 86 to 10Jan 31, 2025 to Mar 27, 2025
- Individual clients · 892 to 781Jan 31, 2025 to Mar 27, 2025
- Assets in custody · $118M to $55.9MJan 31, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 26-50Jan 31, 2025 to Mar 27, 2025
- State-registered IARs · 6 to 5Jan 31, 2025 to Mar 27, 2025
- Discretionary RAUM · $165M to $193MJan 31, 2025 to Mar 27, 2025
- HNW RAUM · $92.2M to $27.8MJan 31, 2025 to Mar 27, 2025
- Individual RAUM · $72.4M to $156MJan 31, 2025 to Mar 27, 2025
- RAUM · $165M to $193MJan 31, 2025 to Mar 27, 2025
- Accounts · 1,440 to 1,726Sep 5, 2023 to Mar 12, 2024
- Corporate clients · 9.0 to unsetSep 5, 2023 to Mar 12, 2024
- HNW clients · 40 to 86Sep 5, 2023 to Mar 12, 2024
- Individual clients · 800 to 892Sep 5, 2023 to Mar 12, 2024
- Assets in custody · $133M to $118MSep 5, 2023 to Mar 12, 2024
- Employees · 7 to 9Sep 5, 2023 to Mar 12, 2024
- Discretionary RAUM · $133M to $165MSep 5, 2023 to Mar 12, 2024
- HNW RAUM · $48.6M to $92.2MSep 5, 2023 to Mar 12, 2024
- Individual RAUM · $83.6M to $72.4MSep 5, 2023 to Mar 12, 2024
- RAUM · $133M to $165MSep 5, 2023 to Mar 12, 2024
- Accounts · 1,127 to 1,440Dec 12, 2022 to Mar 23, 2023
- Advisory employees · 5 to 6Dec 12, 2022 to Mar 23, 2023
- Corporate clients · 6 to 9Dec 12, 2022 to Mar 23, 2023
- HNW clients · 30 to 40Dec 12, 2022 to Mar 23, 2023
- Individual clients · 665 to 800Dec 12, 2022 to Mar 23, 2023
Signals
6 dated events
- Douglas Blake Peterson left Keystone Financial Services, Llc for Cwm, Llc (registered 2025-01-13)Jan 9, 2025 · Advisor changed firm · fact
- Lee Travis Sholin (Partner) appeared on Schedule A of Keystone Financial Services, LlcMar 12, 2024 · Control person joined · fact
- N Justin Sholin (Partner) appeared on Schedule A of Keystone Financial Services, LlcMar 12, 2024 · Control person joined · fact
- N Justin Sholin (Chief Compliance Officer) no longer on Schedule A of Keystone Financial Services, Llc (listed 2021-03-13, absent 2022-03-23)Mar 23, 2022 · Control person left · inference
- Blake Douglas Peterson (Chief Compliance Officer And Financial Advisor) appeared on Schedule A of Keystone Financial Services, LlcMar 23, 2022 · Control person joined · fact
- Keystone Financial Services, Llc filed its initial SEC registration (Form ADV)Mar 13, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 402-392-1490reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-392-1212reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/keystonefinancialservicesomahareportedpublic record, Form ADV, Sep 18, 2026
- Website
- keystonefinancialservice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (402) 392-1212reportedpublic record, Form ADV, Apr 27, 2026
- Contact form
- keystonefinancialservice.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- keystonefinancialservice.com/team-member/nancy-laug-sholinreportedpublished by the firm, firm site, Sep 16, 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
- $34.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026