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MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD 611File 801-61332
APPROVED
Retail clients
Disclosure events
Filing as of Sep 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$32.0M
Bottom 25% of cohort (national)
Discretionary AUM
$32.0M
Clients
7,025
144 accounts
Employees
285
Bottom 25% of cohort in NE
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Jul 30, 2002
- Principal office
- 3300 MUTUAL OF OMAHA PLAZA, OMAHA, NE, 68175-1020
- Phone
- 402-351-3102
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $32.0M
- Discretionary AUM
- $32.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 144
- Non-discretionary accounts
- 0
- Total accounts
- 144
- AUM per client
- $5K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 100 | $0 |
| Charitable organizations | 10 | $0 |
| High net worth individuals | 1,595 | $23.6M |
| Pension and profit sharing plans | 35 | $0 |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | 5,285 | $8.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — PROMOTER FEES AND THIRD PARTY MONEY MANAGER FEES
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 277 | 285 | increased by8 |
| Apr 1, 2026 | Clients | 6,885 | 7,025 | increased by140 |
| Apr 1, 2026 | AUM | $24,355,321 | $32,035,685 | increased by$7,680,364 |
| Apr 1, 2026 | Accounts | 116 | 144 | increased by28 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 350 | 277 | decreased by73 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 6,295 | 6,885 | increased by590 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $10,007,041 | $24,355,321 | increased by$14,348,280 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 27 | 116 | increased by89 |
| Apr 1, 2022 | Employees | 400 | 350 | decreased by50 |
| Apr 1, 2022 | Clients | 5,760 | 6,295 | increased by535 |
| Apr 1, 2022 | AUM | $0 | $10,007,041 | increased by$10,007,041 |
| Apr 1, 2022 | Accounts | 0 | 27 | increased by27 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MUTUAL OMAHA” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MUTUAL OMAHA” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.