SEC-registered wealth management firm Broker-dealer affiliated
Mutual of Omaha Investor Services, Inc.
As of its Form ADV filed September 28, 2026, Mutual of Omaha Investor Services, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Omaha, Nebraska, reported $32.0 million in regulatory assets under management across 144 accounts, ranking #70 among all wealth firms in Nebraska by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 611
- SEC file number
- 801-61332
- Registered since
- July 30, 2002
- Latest Form ADV filing
- September 28, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 91
Key figures
- Regulatory assets under management
- $32.0 million
- Discretionary
- $32.0 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 144 (144 discretionary)
- Clients
- 13,905, approximate as reported
- Employees
- 285
- Advisory staff
- 285 performing investment advisory functions
- Average account
- $222,470
- Asset growth, 1 year
- 31.5% (from $24.4 million a year earlier)
- Asset growth, 3-year annual rate
- 30.9% (from $14.3 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 1.8% (from 13,665)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $34.3 million |
| October 3, 2011 | $34.5 million |
| October 1, 2012 | $0 |
| October 1, 2013 | $0 |
| October 1, 2014 | $0 |
| October 1, 2015 | $0 |
| October 3, 2016 | $0 |
| October 2, 2017 | $0 |
| October 1, 2018 | $0 |
| October 1, 2019 | $0 |
| October 1, 2020 | $0 |
| October 4, 2021 | $0 |
| October 3, 2022 | $10.0 million |
| October 5, 2023 | $14.3 million |
| October 1, 2024 | $15.5 million |
| September 2, 2025 | $24.4 million |
| October 2, 2026 | $32.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 1,595 clients | $23.6 million | |
| Individuals (other than high net worth) 5,285 clients | $8.5 million | |
| Corporations or other businesses 100 clients | $0 | |
| Pension and profit sharing plans 35 clients | $0 | |
| Charitable organizations 10 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
Financial planning clients (Item 5.H): 251-500.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 280
- Also registered through a broker-dealer
- 269
- Employees who are IARs (Form ADV 5.B(3))
- 285
Designations held by the firm's IARs: ChFC 31, CFP 24, CFA 1.
Between 132 and 188 of the firm's 280 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Nebraska
| Firm | City | RAUM |
|---|---|---|
| Spiehs Wealth Management, Inc. | Grand Island | $32.0 million |
| Virtue Wealth Counsel, LLC | Omaha | $30.8 million |
| Modern Asset Management LLC | Columbus | $30.3 million |
| Arc Element Wealth Design | Papillion | $29.5 million |
| Carlson Wealth, LLC | Omaha | $29.5 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Mutual of Omaha Investor Services, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.mutualofomaha.com/investments
- Wealth management firms in Nebraska
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.