{
  "crd_number": 137080,
  "slug": "wealth-management-norfolk-ne-137080",
  "primary_business_name": "WEALTH MANAGEMENT",
  "legal_name": "WEALTH MANAGEMENT NEBRASKA LLC",
  "dbas": [
    "WEALTH FIRM",
    "WEALTH MANAGEMENT",
    "WEALTH MANAGEMENT LLC"
  ],
  "city": "Norfolk",
  "state": "NE",
  "country": "United States",
  "cbsa_code": "35740",
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2006-02-17",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-08-03",
  "carried_forward": false,
  "raum_total": 3708706532.0,
  "raum_discretionary": 3666035915.0,
  "raum_non_discretionary": 42670617.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 61,
  "advisory_employees": 49,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 13864524.0,
      "count": 7
    },
    "individuals": {
      "raum": 849339359.0,
      "count": 3710
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": 421142.0,
      "count": 1
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 1965885005.0,
      "count": 1,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 871950830.0,
      "count": 1021
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 7245672.0,
      "count": 11
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "other",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "FL",
    "GA",
    "IA",
    "ID",
    "IL",
    "KS",
    "KY",
    "MI",
    "MN",
    "MO",
    "MT",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA",
    "WI",
    "WY"
  ],
  "websites": [
    "https://403bplan.net",
    "https://dashboard.wealthmgmtllc.com",
    "https://facebook.com/WEALTHMGMTLLC",
    "https://linkedin.com/COMPANY/11326689",
    "https://myretirementfiduciary.com",
    "https://wealthfirm.info",
    "https://wealthmanagement.info",
    "https://wealthmgmtllc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137080",
  "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?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NORFOLK",
  "url": "https://advisorcensus.com/firm/wealth-management-norfolk-ne-137080",
  "display_name": "Wealth Management",
  "summary": "Wealth Management is an SEC-registered investment advisory firm in Norfolk, NE, registered since 2006, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 3, 2026.",
  "citation": "AdvisorCensus. Wealth Management (CRD 137080): 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)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Wealth Management located?",
      "a": "Wealth Management's principal office is in Norfolk, NE, according to its Form ADV; the September 2026 filing also lists 23 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Wealth Management registered with the SEC or a state?",
      "a": "Wealth Management is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137080."
    },
    {
      "q": "How much does Wealth Management manage?",
      "a": "Wealth Management reports $3,708,706,532 in regulatory assets under management in its Form ADV filing dated August 3, 2026 (99% discretionary)."
    },
    {
      "q": "How have Wealth Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Wealth Management: Regulatory assets under management: $1,964,292,111 in the October 2021 data and $3,708,706,532 in the October 2026 data, up 89%. Total employees: 51 in October 2021 and 61 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (3,710); high net worth individuals (1,021); corporations or other businesses not listed above (11)."
    },
    {
      "q": "Which custodians does Wealth Management use?",
      "a": "Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Wealth Management report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/137080"
    },
    {
      "q": "Does Wealth Management state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated April 1, 2026 says: \"There are no minimum investment amounts or conditions required for establishing an account managed by Wealth Management. However, all clients are required to execute an agreement for services prior to commencing any work.\""
    },
    {
      "q": "What changed in Wealth Management's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 48 to 49. Regulatory assets under management went from $3,100,744,962 to $3,708,706,532 (+20%). Added an office in Kingwood, TX. No longer lists an office in Chicago, IL."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1964292111.0,
      "total_employees": 51,
      "filing_date": "2021-07-07"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2457115606.0,
      "total_employees": 60,
      "filing_date": "2022-09-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2348931303.0,
      "total_employees": 60,
      "filing_date": "2023-10-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2782818058.0,
      "total_employees": 60,
      "filing_date": "2024-06-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3100744962.0,
      "total_employees": 60,
      "filing_date": "2025-07-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3708706532.0,
      "total_employees": 61,
      "filing_date": "2026-08-03"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 48 to 49.",
        "Regulatory assets under management went from $3,100,744,962 to $3,708,706,532 (+20%).",
        "Added an office in Kingwood, TX.",
        "No longer lists an office in Chicago, IL."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Changed its office addresses in Pierre, SD."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "No longer lists an office in Sheridan, WY."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated April 1, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There are no minimum investment amounts or conditions required for establishing an account managed by Wealth Management. However, all clients are required to execute an agreement for services prior to commencing any work."
        ]
      }
    ],
    "quotes": [
      "There are no minimum investment amounts or conditions required for establishing an account managed by Wealth Management. However, all clients are required to execute an agreement for services prior to commencing any work."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "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/wealth-management-norfolk-ne-137080.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 3710,
      "fewer_than_5": false,
      "raum": 849339359.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1021,
      "fewer_than_5": false,
      "raum": 871950830.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "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": 1,
      "fewer_than_5": true,
      "raum": 1965885005.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 7,
      "fewer_than_5": false,
      "raum": 13864524.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 421142.0
    },
    {
      "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": 11,
      "fewer_than_5": false,
      "raum": 7245672.0
    }
  ],
  "disclosure_line": "Reports 3 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/137080",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}