BANCWEST INVESTMENT SERVICES, INC. (BWIS)
BANCWEST INVESTMENT SERVICES, INC. Legal Name
Adviser information for BANCWEST INVESTMENT SERVICES, INC. (BWIS) last updated from Form ADV on August 10th, 2023. 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 | Delaware, United States |
Employees
| Total Number of Employees | 369 |
|---|---|
| Investment Advisory/Research | 272 |
| Registered Broker-Dealer Representatives | 242 |
| Registered State Investment Advisers | 224 |
| Licensed Agents of an Insurance Company | 195 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9,062 | $2.0B |
| Non-Discretionary | 0 | $0 |
| Total | 9,062 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6,769 | $1.4B |
| HNW Individuals | 544 | $537.8M |
| 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 | 0 | $0 |
| Charitable organizations | 6 | $15.3M |
| 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 | 50 | $23.6M |
| Other | <5 | $517,042 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 43 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)SELECTION OF WRAP FEE PROGRAMS |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 2.0B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-71300 |
|---|---|
| SEC ERA File Number | 801-71300 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 29357 |
| Legal Entity Identifier | 5493001GJYTESEZEBA51 |
Principal Office
13220 CALIFORNIA STREET2ND FLOOR
OMAHA
NE
United States
Monday - Friday, 8AM-5PM
Tel: 800-338-3919, Fax: 402-918-7698
Chief Compliance Officer
JEFF PRUITT
CHIEF COMPLIANCE OFFICER
BANCWEST INVESTMENT SERVICES, INC.
13220 CALIFORNIA STREET
OMAHA
NE
United States
Tel:
701-297-5252
J*************@****************M
(Full email address available in API data)
Regulatory Contact
JOHN HEALY
SENIOR LEAD COMPLIANCE OFFICER
180 MONTGOMERY ST
SAN FRANCISCO
CA
United States
Tel:
415-273-8239
J*********@****************M
(Full email address available in API data)
Industry Affiliates
| BANK OF MONTREAL | Banking or thrift institution |
| BMO FINANCIAL CORPORATION | Banking or thrift institution |
| BMO HARRIS BANK | Banking or thrift institutionPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUBENDORF, DARIN KEITH | Individual | – | BWIS PRESIDENT/CEO - WMG HEAD OF CLIENT SOLUTIONS | 03/2018 | < 5% |
| PRUITT, JEFFREY PAUL | Individual | – | BWIS VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 11/2016 | < 5% |
| BIEL, ROLLIN LYNN | Individual | – | BWIS VICE PRESIDENT - CHIEF FINANCIAL OFFICER/PFO | 09/2018 | < 5% |
| HATFIELD, JOHN CALVIN | Individual | – | BWIS VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 09/2018 | < 5% |
| BMO HARRIS BANK N.A. | Domestic Entity | – | SOLE SHAREHOLDER | 02/2023 | > 75% |
| BMO FINANCIAL CORP | Domestic Entity | BMO HARRIS BANK N.A. | SHAREHOLDER | 11/2011 | > 75% |
| BANK OF MONTREAL | Foreign Entity | BMO FINANCIAL CORP | SHAREHOLDER | 09/1989 | > 75% |