{
  "crd_number": 611,
  "slug": "mutual-of-omaha-investor-services-inc-omaha-ne-611",
  "primary_business_name": "MUTUAL OF OMAHA INVESTOR SERVICES, INC.",
  "legal_name": "MUTUAL OF OMAHA INVESTOR SERVICES, INC.",
  "dbas": [
    "MUTUAL OF OMAHA FINANCIAL ADVISORS"
  ],
  "city": "Omaha",
  "state": "NE",
  "country": "United States",
  "cbsa_code": "36540",
  "metro": {
    "cbsa_code": "36540",
    "common_name": "Omaha",
    "msa_name": "Omaha, NE-IA",
    "path": "/advisors/ne/omaha"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2002-07-30",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-09-28",
  "carried_forward": false,
  "raum_total": 32035685.0,
  "raum_discretionary": 32035685.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 285,
  "advisory_employees": 285,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 0.0,
      "count": 10
    },
    "individuals": {
      "raum": 8461867.0,
      "count": 5285
    },
    "state_municipal": {
      "raum": 0.0,
      "count": null,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 35
    },
    "high_net_worth_individuals": {
      "raum": 23573818.0,
      "count": 1595
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 100
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://mutualofomaha.com/INVESTMENTS"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/611",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "OMAHA",
  "url": "https://advisorcensus.com/firm/mutual-of-omaha-investor-services-inc-omaha-ne-611",
  "display_name": "Mutual of Omaha Investor Services, Inc.",
  "summary": "Mutual of Omaha Investor Services, Inc. is an SEC-registered investment advisory firm in Omaha, NE, registered since 2002, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 28, 2026.",
  "citation": "AdvisorCensus. Mutual of Omaha Investor Services, Inc. (CRD 611): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Mutual of Omaha Investor Services, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Mutual of Omaha Investor Services, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is Mutual of Omaha Investor Services, Inc. located?",
      "a": "Mutual of Omaha Investor Services, Inc.'s principal office is in Omaha, NE, according to its Form ADV; the October 2026 filing also lists 25 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Mutual of Omaha Investor Services, Inc. registered with the SEC or a state?",
      "a": "Mutual of Omaha Investor Services, Inc. is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 611."
    },
    {
      "q": "How much does Mutual of Omaha Investor Services, Inc. manage?",
      "a": "Mutual of Omaha Investor Services, Inc. reports $32,035,685 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (100% discretionary)."
    },
    {
      "q": "How have Mutual of Omaha Investor Services, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Mutual of Omaha Investor Services, Inc.: Regulatory assets under management: $10,007,041 in the October 2022 data and $32,035,685 in the October 2026 data, up 220%. Total employees: 400 in October 2021 and 285 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Mutual of Omaha Investor Services, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5,285); high net worth individuals (1,595); corporations or other businesses not listed above (100)."
    },
    {
      "q": "Which custodians does Mutual of Omaha Investor Services, Inc. use?",
      "a": "Mutual of Omaha Investor Services, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Mutual of Omaha Investor Services, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/611"
    },
    {
      "q": "What changed in Mutual of Omaha Investor Services, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 277 to 285. Regulatory assets under management went from $24,355,321 to $32,035,685 (+32%). Changed its office addresses in Marlton, NJ. Changed its office addresses in Springfield, MO. Added an office in Manassas, VA. Added an office in Sioux Falls, SD. Added an office in Tampa, FL. No longer lists an office in Blue Bell, PA. No longer lists an office in Charlottesville, VA. No longer lists an office in Fairfax, VA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 400,
      "filing_date": "2021-06-18"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 10007041.0,
      "total_employees": 350,
      "filing_date": "2022-08-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 14275270.0,
      "total_employees": 320,
      "filing_date": "2023-09-22"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 15498267.0,
      "total_employees": 285,
      "filing_date": "2024-07-01"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 24355321.0,
      "total_employees": 277,
      "filing_date": "2025-06-20"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 32035685.0,
      "total_employees": 285,
      "filing_date": "2026-09-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 277 to 285.",
        "Regulatory assets under management went from $24,355,321 to $32,035,685 (+32%).",
        "Changed its office addresses in Marlton, NJ.",
        "Changed its office addresses in Springfield, MO.",
        "Added an office in Manassas, VA.",
        "Added an office in Sioux Falls, SD.",
        "Added an office in Tampa, FL.",
        "No longer lists an office in Blue Bell, PA.",
        "No longer lists an office in Charlottesville, VA.",
        "No longer lists an office in Fairfax, VA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/mutual-of-omaha-investor-services-inc-omaha-ne-611.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 5285,
      "fewer_than_5": false,
      "raum": 8461867.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1595,
      "fewer_than_5": false,
      "raum": 23573818.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 35,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 10,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 100,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/611",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}