# Mutual of Omaha Investor Services, Inc.

> 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.

- CRD: 611
- Filed as: MUTUAL OF OMAHA INVESTOR SERVICES, INC.
- Also doing business as: MUTUAL OF OMAHA FINANCIAL ADVISORS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Omaha, NE
- Filing period: October 2026
- Form ADV filing dated: September 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/611
- AdvisorCensus page: https://advisorcensus.com/firm/mutual-of-omaha-investor-services-inc-omaha-ne-611

## Quick answers

**How is Mutual of Omaha Investor Services, Inc. compensated?**
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.

**Where is Mutual of Omaha Investor Services, Inc. located?**
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).

**Is Mutual of Omaha Investor Services, Inc. registered with the SEC or a state?**
Mutual of Omaha Investor Services, Inc. is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 611.

**How much does Mutual of Omaha Investor Services, Inc. manage?**
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).

**How have Mutual of Omaha Investor Services, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does Mutual of Omaha Investor Services, Inc. serve?**
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).

**Which custodians does Mutual of Omaha Investor Services, Inc. use?**
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.

**Does Mutual of Omaha Investor Services, Inc. report any disciplinary disclosures?**
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

**What changed in Mutual of Omaha Investor Services, Inc.'s recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $32,035,685
- Discretionary: $32,035,685
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5,285 | $8,461,867 |
| High net worth individuals | 1,595 | $23,573,818 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 35 | $0 |
| Charitable organizations | 10 | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | 100 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2002 (24 years)
- Employees: 285 total, 285 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/611

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Clive, IA
- Columbia, SC
- Concord, CA
- Coral Gables, FL
- Denver, CO
- Glen Allen, VA
- Guaynabo, PR
- Hopkins, MN
- Houston, TX
- Irving, TX
- La Crosse, WI
- Lincoln, NE
- Los Angeles, CA
- Manassas, VA
- Marlton, NJ
- Oakbrook Terrace, IL
- Omaha, NE
- Overland Park, KS
- Phoenix, AZ
- Roanoke, VA
- Sacramento, CA
- Sioux Falls, SD
- Springfield, MO
- Tampa, FL
- Waukesha, WI

### Websites listed on Form ADV (Item 1.I)
- mutualofomaha.com/INVESTMENTS

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 400 | June 18, 2021 |
| October 2022 | $10,007,041 | 350 | August 19, 2022 |
| October 2023 | $14,275,270 | 320 | September 22, 2023 |
| October 2024 | $15,498,267 | 285 | July 1, 2024 |
| October 2025 | $24,355,321 | 277 | June 20, 2025 |
| October 2026 | $32,035,685 | 285 | September 28, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Mutual of Omaha Investor Services, Inc. (CRD 611): Form ADV filing data as of October 2026.