Wealth manager, independent · Omaha, NE
Pflug Koory, LLC
SEC-registered investment adviser · CRD 109268 · SEC 801-57982
At a glance
Pflug Koory, LLC is an SEC-registered investment adviser based in Omaha, Nebraska, with $347 million in regulatory assets under management as of its Form ADV filed February 9, 2026. Its largest client group by assets is individuals, and it reports 122 individual clients. By Form ADV it is a wealth manager, ranked 3,934th of 8,915 wealth managers and 9,445th of 17,210 SEC-registered advisers by assets.
Main office 402-691-0988pkllc.comAs filed on Form ADV
- Regulatory AUM
- $347M
- Rank among wealth managers
- #3,934 of 8,915
- Rank among all SEC RIAs
- #9,445 of 17,210
- Rank in Nebraska
- #45 of 71
- Individual clients
- 122
- High-net-worth clients
- 58
- Accounts
- 124
- Discretionary
- 94% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Thomas F. PflugMember Manager & Chief Compliance Officer
- Karen M. SulenticMember/client Services Manager
- Megan M KooryMember/investment Research Analyst
Custody and brokerage
Custodian
Pflug Koory, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 64 | $282M | 81% |
| Charitable organizations | 2 | $38M | 11% |
| High-net-worth individuals | 58 | $27M | 8% |
Disciplinary disclosures
Pflug Koory, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗pkllc.com ↗
AtlasMembers
The full record on Pflug Koory, LLC
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 6,364 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
- Locked
- 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 Pflug Koory, LLC manage?
Pflug Koory, LLC reports $347 million in regulatory assets under management across 124 accounts, 94% of it on a discretionary basis, on its Form ADV filed February 9, 2026.
What kind of firm is Pflug Koory, LLC?
Pflug Koory, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Pflug Koory, LLC’s clients?
By assets, its largest client types are individuals ($282 million, 64 clients); charitable organizations ($38 million, 2 clients); high-net-worth individuals ($27 million, 58 clients).
Does Pflug Koory, LLC have any disciplinary history?
Pflug Koory, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Pflug Koory, LLC’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 (2026-02-09), 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 →