FIRST NEBRASKA FINANCIAL SERVICES
FIRST NEBRASKA ADVISORY LLC Legal Name
Adviser information for FIRST NEBRASKA FINANCIAL SERVICES last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 896 | $357.5M |
| Total | 896 | $357.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 351 | $95.7M |
| HNW Individuals | 82 | $240.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 14 | $17.0M |
| Charitable organizations | <5 | $4.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-114691 |
|---|---|
| SEC ERA File Number | 801-114691 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298667 |
| Legal Entity Identifier | None |
Principal Office
202 W. 2ND ST.NORTH PLATTE
NE
United States
Monday - Friday, 8:30 AM TO 5 PM CT
Tel: (308) 534-1322, Fax: (308) 534-0437
Websites
Chief Compliance Officer
DARREL SMITH
PRESIDENT & CEO
202 W. 2ND ST.
NORTH PLATTE
NE
United States
Tel:
(308) 534-1322
D******@*************************M
(Full email address available in API data)
Regulatory Contact
CHRIS STANLEY
FOUNDING PRINCIPAL, BEACH STREET LEGAL
PO BOX 31681
DES PERES
MO
United States
Tel:
(314) 441-6191
T***@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, DARREL, CLARENCE | Individual | – | PRESIDENT, CEO & CHIEF COMPLIANCE OFFICER | 09/2018 | < 5% |
| SMITH, JOHN, WARREN | Individual | – | VICE PRESIDENT | 09/2018 | < 5% |
| FIRST NEBRASKA FINANCIAL SERVICES INC. | Domestic Entity | – | MEMBER | 08/2018 | > 75% |
| SMITH, DARREL, CLARENCE | Individual | FIRST NEBRASKA FINANCIAL SERVICES INC. | SHAREHOLDER | 07/1987 | 25-50% |
| SMITH, JOHN, WARREN | Individual | FIRST NEBRASKA FINANCIAL SERVICES INC. | SHAREHOLDER | 07/1987 | 50-75% |