Broker-dealer firm · Omaha, NE
Mutual of Omaha Investor Services, Inc.
SEC-registered investment adviser · CRD 611 · SEC 801-61332
At a glance
Mutual of Omaha Investor Services, Inc. is an SEC-registered investment adviser based in Omaha, Nebraska, with $32 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 6,880 individual clients. By Form ADV it is a broker-dealer firm, ranked 348th of 391 broker-dealer firms and 16,087th of 17,210 SEC-registered advisers by assets.
Main office 402-351-3102mutualofomaha.comAs filed on Form ADV
- Regulatory AUM
- $32M
- Rank among broker-dealer firms
- #348 of 391
- Rank among all SEC RIAs
- #16,087 of 17,210
- Rank in Nebraska
- #70 of 71
- Individual clients
- 6,880
- High-net-worth clients
- 1,595
- Accounts
- 144
- Discretionary
- 100% of AUM
- Employees
- 285
- Advisory staff
- 285
- Offices
- 92
Owners and executives on its Form ADV
- Adam D ProskovecPresident and Principal Operations Officer
- Evan Richard BeesPrincipal Financial Officer
- Briana Dawn HughesChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Mutual of Omaha Investor Services, Inc. is a hybrid RIA: 207 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,595 | $24M | 74% |
| Individuals | 5,285 | $8M | 26% |
| Pension and profit sharing plans | 35 | $0M | 0% |
| Charitable organizations | 10 | $0M | 0% |
| Corporations or other businesses | 100 | $0M | 0% |
Disciplinary disclosures
Mutual of Omaha Investor Services, Inc. answers yes to 29 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗mutualofomaha.com ↗
AtlasMembers
The full record on Mutual of Omaha Investor Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 68 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Mutual of Omaha Investor Services, Inc. manage?
Mutual of Omaha Investor Services, Inc. reports $32 million in regulatory assets under management across 144 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Mutual of Omaha Investor Services, Inc.?
Mutual of Omaha Investor Services, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Mutual of Omaha Investor Services, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($24 million, 1,595 clients); individuals ($8 million, 5,285 clients); pension and profit sharing plans ($0, 35 clients).
Does Mutual of Omaha Investor Services, Inc. have any disciplinary history?
Mutual of Omaha Investor Services, Inc. answers yes to 29 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Mutual of Omaha Investor Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →