MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Adviser information for MUTUAL OF OMAHA INVESTOR SERVICES, INC. last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 285 |
|---|---|
| Investment Advisory/Research | 285 |
| Registered Broker-Dealer Representatives | 195 |
| Registered State Investment Advisers | 285 |
| Licensed Agents of an Insurance Company | 250 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 74 | $15.5M |
| Non-Discretionary | 0 | $0 |
| Total | 74 | $15.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,230 | $4.9M |
| HNW Individuals | 1,070 | $10.6M |
| 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 | 20 | $0 |
| Charitable organizations | 10 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 20 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6290 |
| 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 AUMHourly chargesFixed feesPROMOTER FEES AND THIRD PARTY MONEY MANAGER FEES |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-61332 |
|---|---|
| SEC ERA File Number | 801-61332 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 611 |
| Legal Entity Identifier | None |
Principal Office
3300 MUTUAL OF OMAHA PLAZAOMAHA
NE
United States
Monday - Friday, 8:00 - 4:30 CST/CDT
Tel: 402-351-3102, Fax: 866-807-9215
Websites
Chief Compliance Officer
BRIANA HUGHES
CHIEF COMPLIANCE OFFICER
3300 MUTUAL OF OMAHA PLAZA
OMAHA
NE
United States
Tel:
402-351-4056
Fax:
866-807-9215
B************@****************M
(Full email address available in API data)
Regulatory Contact
CAROL SCHRAM
COMPLIANCE CONSULTANT
3300 MUTUAL OF OMAHA PLAZA
OMAHA
NE
United States
Tel:
402-351-4578
Fax:
866-807-9215
C***********@****************M
(Full email address available in API data)
Industry Affiliates
| COMPANION | Insurance company or agency |
| MEDICARE ADVANTAGE INSURANCE COMPANY OF OMAHA | Insurance company or agency |
| MUTUAL OF OMAHA | Insurance company or agency |
| MUTUAL OF OMAHA MARKETING CORPORATION | Insurance company or agency |
| MUTUAL OF OMAHA MEDICARE ADVANTAGE COMPANY | Insurance company or agency |
| MUTUAL OF OMAHA RISK AND INSURANCE SOLUTIONS SERVICES, INC. | Insurance company or agency |
| OMAHA HEALTH INSURANCE COMPANY | Insurance company or agency |
| OMAHA INSURANCE COMPANY | Insurance company or agency |
| OMAHA REINSURANCE | Insurance company or agency |
| OMAHA SUPPLEMENTAL INSURANCE COMPANY | Insurance company or agency |
| UNITED OF OMAHA | Insurance company or agency |
| UNITED WORLD | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUTUAL OF OMAHA HOLDINGS INC. | Domestic Entity | – | OWNER | 01/1997 | > 75% |
| MUTUAL OF OMAHA INSURANCE CO. | Domestic Entity | MUTUAL OF OMAHA HOLDINGS INC. | OWNER | 09/1993 | > 75% |
| PROSKOVEC, ADAM D | Individual | – | PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 09/2018 | < 5% |
| BEES, EVAN RICHARD | Individual | – | PRINCIPAL FINANCIAL OFFICER | 09/2018 | < 5% |
| HUGHES, BRIANA DAWN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |