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
T•••••••• F•••••••• S•••••••• L•••••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2026 · 1 filings
RAUM
$51.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$50.8M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $17.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- 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$42.5M82%
- Individuals$8.3M16%
- Corporations and businesses$648,5601.3%
- Charitable organizations$143,4550.3%
- Individual clients
- 21reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 44reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $22.1M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B•••• H•••••••• | Omaha, Ne | Oct 25, 2006 | 27 y | 1 |
| S•••• C•••••• T•••••Chartered Financial Consultant | Omaha, Ne | Sep 19, 2007 | 43 y | 0 |
| T••••• N••• T•••••••• | Wahoo, Ne | Jan 18, 2008 | 42 y | 0 |
| M•••••• A••••• K•••••Certified Financial Planner | Omaha, Ne | Jul 12, 2023 | 13 y | 3 |
| G•••• S•••••• T•••••••• | Omaha, Ne | Oct 14, 2025 | 13 y | 0 |
Advisor movement
Left, latest
- J••• E••• K•••••• to L•• F•••••••• L••Dec 31, 2024 · Other
- J••••• R••••• H•••• to I••••••••• R••••••••• L••Dec 15, 2020 · Other
- Z•••••• D• C••••••••• to S••••••••• A•••••• A•••••••• I•••Jun 12, 2020 · Other
- J•••••• T•• S••••••• to S•••• G••••• F•••••••• P•••••••Jun 12, 2020 · Other
- T••• A•••••• M••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 18, 2014 · Other
- P••• A••• F•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 18, 2014 · Other
Joined, latest
- M•••••• A••••• K••••• from P••• A• W•••••• L••Jul 12, 2023 · RIA to a state-registered adviser
- J•••••• T•• S••••••• from V••• F•••••••• A•••••••• I•••Mar 28, 2018 · Other
- J••••• R••••• H•••• from W•••••••• C•••••• M••••••••• L••Oct 25, 2006 · Other
- J••• B•••• H•••••••• from S•••• H•••• A••••••• I••Oct 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- J••• E••• K•••••• left T•••••••• F•••••••• S•••••••• L••••• for L•• F•••••••• L•• (registered 2024-11-12)Dec 31, 2024 · 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
- Website
- T••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-331-8600reportedpublic record, Form ADV, Mar 30, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026