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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Former SEC-registered adviser

A••••••• A••••••• S•••••••• L••

Former SEC-registered adviserLincoln, NebraskaCRD 316900SEC 801-122600IAPD
Latest filing Oct 1, 2021
First filing on the tape Oct 1, 2021 · 2 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
25
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$7.8B as of Oct 1, 2021
Oct 1, 2021$7.8B then
HNW client RAUM$2.6B as of Oct 1, 2021
Oct 1, 2021$2.6B then
State-registered IARs (5.B.3)577 as of Oct 1, 2021
Oct 1, 2021577 then
Employees (5.A)611 as of Oct 1, 2021
Oct 1, 2021611 then
Private funds: no history
Practice profile
derived from the filing of Oct 1, 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
22.2derived26 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, 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
  • 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)
  • 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, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• R•••• C•••••• · Member, Board Of Directorscontrol
        since 01/2020 · owns less than 5%
      • G••••••• C•••••• S•• · Vice President, Wealth Management & Investment Servicescontrol
        since 01/2020 · owns less than 5%
      • K•••••••• M••••••• J••• · Vice President & Chief Compliance Officercontrol
        since 10/2020 · owns less than 5%
      • K••••• B••••• F•••••• · Member, Board Of Directorscontrol
        since 01/2020 · owns less than 5%
      • N••••••••• H••••••• J••• · Presidentcontrol
        since 08/2021 · owns less than 5%
      • N••••••••• C••••••••• M••••• · Corporate Secretarycontrol
        since 01/2020 · owns less than 5%
      • S••••••••• M••••• E•••••••• · Second Vice President, Compliancecontrol
        since 01/2020 · owns less than 5%
      • W••••••••• S••••• K•• · Member, Board Of Directorscontrol
        since 01/2020 · owns less than 5%
      Entity owners
      • A••••••• L••• I•••••••• C•••• · Owner
        direct · owns 75% or more
      • A••••••• H•••••• C•••••• · Owner
        indirect · owns 75% or more of A••••••• L••• I•••••••• C••••
      • A••••••• M••••• H•••••• C•••••• · Owner
        indirect · owns 75% or more of A••••••• H•••••• C••••••
      Related persons
      Schedule D 7.A
      • A••••••• I••••••••• C••••••• L••
        broker-dealern
      • A••••••• I••••••••• P•••••••• I•••
        investment adviserbanknRAUM $29B
      • A••••••• L••• I•••••••• C••••
        real estatey
      • A••••••• L••• I•••••••• C•••• O• N•• Y•••
        real estaten
      • V••••••• C••••••• A•••••• L••
        real estaten
      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
      • Succession · true to false
        Oct 1, 2021 to Oct 1, 2021
      Signals
      2 dated events
      • A••••••• A••••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 1, 2021 · Succession (Item 4) · fact
      • A••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 1, 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.
      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