{
  "crd_number": 165266,
  "slug": "prairie-wealth-advisors-inc-omaha-ne-165266",
  "primary_business_name": "PRAIRIE WEALTH ADVISORS, INC.",
  "legal_name": "PRAIRIE WEALTH ADVISORS, INC.",
  "dbas": [],
  "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": "2012-09-21",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-07-28",
  "carried_forward": false,
  "raum_total": 557956158.0,
  "raum_discretionary": 476377824.0,
  "raum_non_discretionary": 81578334.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 12,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 2331571.0,
      "count": 4
    },
    "individuals": {
      "raum": 64239786.0,
      "count": 270
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 444795187.0,
      "count": 100
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 46589614.0,
      "count": 15
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "IA",
    "IL",
    "KS",
    "LA",
    "MN",
    "MO",
    "NE",
    "NH",
    "SC",
    "SD",
    "TX",
    "WA"
  ],
  "websites": [
    "https://facebook.com/PRAIRIEWEALTHADVISORS",
    "https://linkedin.com/company/prairiewealthadvisorsinc",
    "https://prairiewealthadvisors.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165266",
  "disclosure_items": [
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "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(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    }
  ],
  "city_as_filed": "OMAHA",
  "url": "https://advisorcensus.com/firm/prairie-wealth-advisors-inc-omaha-ne-165266",
  "display_name": "Prairie Wealth Advisors, Inc.",
  "summary": "Prairie Wealth Advisors, Inc. is an SEC-registered investment advisory firm in Omaha, NE, registered since 2012, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated July 28, 2026.",
  "citation": "AdvisorCensus. Prairie Wealth Advisors, Inc. (CRD 165266): 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",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Prairie Wealth Advisors, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Prairie Wealth Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is Prairie Wealth Advisors, Inc. located?",
      "a": "Prairie Wealth Advisors, Inc.'s principal office is in Omaha, NE, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Prairie Wealth Advisors, Inc. registered with the SEC or a state?",
      "a": "Prairie Wealth Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 165266."
    },
    {
      "q": "How much does Prairie Wealth Advisors, Inc. manage?",
      "a": "Prairie Wealth Advisors, Inc. reports $557,956,158 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (85% discretionary)."
    },
    {
      "q": "How have Prairie Wealth Advisors, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Prairie Wealth Advisors, Inc.: Regulatory assets under management: $350,743,211 in the October 2021 data and $557,956,158 in the October 2026 data, up 59%. Total employees: 10 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Prairie Wealth Advisors, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (270); high net worth individuals (100); corporations or other businesses not listed above (15)."
    },
    {
      "q": "Which custodians does Prairie Wealth Advisors, Inc. use?",
      "a": "Prairie Wealth Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Prairie Wealth Advisors, Inc. report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). 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/165266"
    },
    {
      "q": "What changed in Prairie Wealth Advisors, Inc.'s recent Form ADV filings?",
      "a": "In the August 2026 filing data: Employees performing advisory functions went from 9 to 10. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 350743211.0,
      "total_employees": 10,
      "filing_date": "2021-06-07"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 398354275.0,
      "total_employees": 7,
      "filing_date": "2022-03-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 421610671.0,
      "total_employees": 8,
      "filing_date": "2023-02-23"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 438373210.0,
      "total_employees": 8,
      "filing_date": "2024-04-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 472221240.0,
      "total_employees": 7,
      "filing_date": "2025-06-23"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 557956158.0,
      "total_employees": 12,
      "filing_date": "2026-07-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Employees performing advisory functions went from 9 to 10.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Employees performing advisory functions went from 4 to 9.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 3 to 4.",
        "Regulatory assets under management went from $472,221,240 to $557,956,158 (+18%).",
        "Registered or notice-filed in AZ, IL, MN, SC, WA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES 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/prairie-wealth-advisors-inc-omaha-ne-165266.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 270,
      "fewer_than_5": false,
      "raum": 64239786.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 100,
      "fewer_than_5": false,
      "raum": 444795187.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 4,
      "fewer_than_5": false,
      "raum": 2331571.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 15,
      "fewer_than_5": false,
      "raum": 46589614.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 5 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/165266",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}