Mutual of Omaha Investor Services, Inc.

Registered investment adviser · Omaha, NE · CRD #611

Form ADV data as of 2026-09-01

Regulatory assets

$32.0 million

Total accounts

144

Employees

285

Disclosure events

Firm details

Website: http://www.mutualofomaha.com/investments
Telephone: 402-351-3102
SEC file number: 801-61332
Most recent Form ADV filing: 2026-08-04
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 27 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$32.0 million
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$32.0 million
Discretionary accounts	144
Non-discretionary accounts	0
Total accounts	144
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	285
Employees performing investment advisory functions (including research)	285
Employees who are registered representatives of a broker-dealer	207
Employees registered as investment adviser representatives with a state	285
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	252
Firms or persons who solicit advisory clients on the firm's behalf	2

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	5,285	$8.5 million
High net worth individuals	1,595	$23.6 million
Pension and profit sharing plans (not the participants or government plans)	35	$0
Charitable organizations	10	$0
Corporations or other businesses not listed above	100	$0