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
C•••••• C••••••••• • A•••• M•••••••••
Legal name C•••••• C••••••••• • A•••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Jul 3, 1996
RAUM
$219M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.9M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$219M as of Mar 24, 2026
Mar 30, 2012$204M then
HNW client RAUM$103M as of Mar 24, 2026
Mar 29, 2018$140M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 24, 2026
Feb 7, 20135 then
Private funds: no history
RAUM -23% over the last fiscal year-6.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $109,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$116M53%
- High-net-worth individuals$103M47%
- Individual clients
- 95reported
- HNW clients
- 85reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,988reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• N••••Certified Financial Planner | Lincoln, Ne | Feb 18, 2000 | 44 y | 1 |
| A•••• R••••• | Lincoln, Ne | Aug 13, 2015 | 18 y | 0 |
| C•••• N••••Certified Financial Planner | Frisco, Co | Oct 8, 2024 | 12 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 headcount0 left over 36 months
Left, latest
- D••••• F•• W••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 31, 2023 · RIA to affiliated broker-dealer or bank
- A••••• T••••• C••••••• to L•• F•••••••• L••Aug 23, 2022 · RIA to RIA
Joined, latest
- D••••• F•• W••••• from S•• I••••••••• S••••••• I•••Jan 3, 2023 · RIA to RIA
- A••••• T••••• C••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 20, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• R•••••• E••••• · Presidentcontrolsince 05/1996 · owns 75% or more
- R•••••• A••••• R•• · Chief Compliance Officersince 04/2012 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lincoln, Ne · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 16.0% to 47.0% between the annual amendments of 2025-03-27 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 24, 2026private-client share of RAUM moved from 65.0% to 100.0% between the annual amendments of 2025-03-27 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 24, 2026discretionary share of RAUM moved from 65.0% to 100.0% between the annual amendments of 2025-03-27 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,605 to 1,988Oct 27, 2025 to Mar 24, 2026
- HNW clients · 52 to 85Oct 27, 2025 to Mar 24, 2026
- Individual clients · 118 to 95Oct 27, 2025 to Mar 24, 2026
- Employees · 7 to 8Oct 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $182M to $219MOct 27, 2025 to Mar 24, 2026
- HNW RAUM · $45.5M to $103MOct 27, 2025 to Mar 24, 2026
- Individual RAUM · $137M to $116MOct 27, 2025 to Mar 24, 2026
- RAUM · $182M to $219MOct 27, 2025 to Mar 24, 2026
- Advisory activities · 4 to 5Jun 25, 2025 to Oct 27, 2025
- Accounts · 1,485 to 1,605Mar 27, 2025 to Jun 25, 2025
- Advisory activities · 5 to 4Mar 27, 2025 to Jun 25, 2025
- Individual clients · 113 to 118Mar 27, 2025 to Jun 25, 2025
- Employees · 8 to 7Mar 27, 2025 to Jun 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to Jun 25, 2025
- Non-discretionary RAUM · $100M to $0Mar 27, 2025 to Jun 25, 2025
- RAUM · $282M to $182MMar 27, 2025 to Jun 25, 2025
- Accounts · 1,490 to 1,485Oct 7, 2024 to Mar 27, 2025
- HNW clients · 50 to 52Oct 7, 2024 to Mar 27, 2025
- Individual clients · 106 to 113Oct 7, 2024 to Mar 27, 2025
- Discretionary RAUM · $196M to $182MOct 7, 2024 to Mar 27, 2025
- HNW RAUM · $49.1M to $45.5MOct 7, 2024 to Mar 27, 2025
- Individual RAUM · $147M to $137MOct 7, 2024 to Mar 27, 2025
- RAUM · $296M to $282MOct 7, 2024 to Mar 27, 2025
- Employees · 7 to 8Mar 29, 2024 to Oct 7, 2024
- State-registered IARs · 2 to 3Mar 29, 2024 to Oct 7, 2024
- Accounts · 1,457 to 1,490Mar 29, 2023 to Mar 29, 2024
- Advisory employees · 2 to 3Mar 29, 2023 to Mar 29, 2024
- HNW clients · 39 to 50Mar 29, 2023 to Mar 29, 2024
- Individual clients · 101 to 106Mar 29, 2023 to Mar 29, 2024
- Employees · 6 to 7Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $166M to $196MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $41.4M to $49.1MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $124M to $147MMar 29, 2023 to Mar 29, 2024
- RAUM · $266M to $296MMar 29, 2023 to Mar 29, 2024
- Accounts · 1,427 to 1,457Mar 30, 2022 to Mar 29, 2023
- HNW clients · 36 to 39Mar 30, 2022 to Mar 29, 2023
- Individual clients · 109 to 101Mar 30, 2022 to Mar 29, 2023
- Employees · 5 to 6Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $179M to $166MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $44.6M to $41.4MMar 30, 2022 to Mar 29, 2023
Signals
3 dated events
- C•••••• C••••••••• • A•••• M••••••••• reported RAUM $182.2M, down 35% from $282.2M (2025-03-27 to 2025-06-25)Jun 25, 2025 · RAUM change · derived
- D••••• F•• W••••• left C•••••• C••••••••• • A•••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-24)Mar 31, 2023 · Advisor changed firm · fact
- A••••• T••••• C••••••• left C•••••• C••••••••• • A•••• M••••••••• for L•• F•••••••• L•• (registered 2022-08-25)Aug 23, 2022 · 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
- w••.c•••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-477-2500reportedpublic record, Form ADV, Mar 24, 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
- $72.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026