Wealth Management

Registered investment adviser · Norfolk, NE · CRD #137080

Form ADV data as of 2026-09-01

Regulatory assets

$3.71 billion

Total accounts

4,751

Employees

Disclosure events

Firm details

Website: https://403bplan.net/
Telephone: 402-371-1160
SEC file number: 801-65977
Most recent Form ADV filing: 2026-08-03
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 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)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.67 billion
Non-discretionary regulatory assets under management	$42.7 million
Total regulatory assets under management	$3.71 billion
Discretionary accounts	4,750
Non-discretionary accounts	1
Total accounts	4,751
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	61
Employees performing investment advisory functions (including research)	49
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	44
Employees registered as IARs for another investment adviser	2
Employees who are licensed insurance agents	4
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
Client funds and securities held in the firm's custody	$1.27 billion
Clients for whom the firm has custody	2,263
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
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

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

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshopsOther

Affiliated related persons

Other investment adviser (including financial planners)Accountant or accounting firmInsurance 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:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	3,710	$849.3 million
High net worth individuals	1,021	$872.0 million
Pension and profit sharing plans (not the participants or government plans)	1	$1.97 billion
Charitable organizations	7	$13.9 million
State or municipal government entities (including government pension plans)	1	$421,142
Corporations or other businesses not listed above	11	$7.2 million