Cwm, LLC

CRD#155344
Investment Advisor Firm

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Overview

Cwm, LLC operates as a financial advisor company located in Omaha, Nebraska. Cwm, LLC handles $19.9 billion in assets throughout 82,314 client accounts, making it one of the biggest firms in the country by assets under management (AUM). Cwm, LLC has a large team, including 280 financial advisors. Cwm, LLC is not a registered broker-dealer, meaning the firm is not able to buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer company to do so. Securities are defined as exchangable financial assets like options, stocks and bonds.

Cwm, LLC administers the majority of the firm's client assets in a discretionary manner. Discretionary management is a structure in which an investment advisor makes buy and sell choices without requiring client authorization. It also oversees 34 non-discretionary accounts totaling $29.6 million in AUM. The firm manages an average of $242,355 in assets for every customer account. An average financial advisor at Cwm, LLC manages about 294 client accounts.

Cwm, LLC’s central office is at 14600 Branch St., Omaha, Nebraska 68154. The company is legally permitted to serve clients throughout 51 U.S. states and territories.

Assets Under Management

$19.9 billion

Number of Advisors

280

Disclosures

No

Office Location

14600 Branch St.
Omaha, NE 68154

Cwm, LLC by the Numbers

Total Assets Under Management

$19.9 billion

National Average: $9.0 billion
Total Number of Employees

990

National Average: 71,771
Total Number of Accounts

82,314

National Average: 4,329
Average Account Size

$242.4 thousand

National Average: $2.1 million

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Products and Services

Cwm, LLC offers multiple services, which can include financial planning services, portfolio management for individuals and small businesses, selection of other advisers and other services. In the last financial year, the company provided financial planning services to 7315 of its customers. It does sell products or offer services different than investment advisory services to its customers. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer and insurance company or agency.

Core Advisor Services

  • Offered by 31% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 47% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 21% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees charged by financial advisors usually depend on which service is provided. However, fee types billed by Cwm, LLC most likely consist of the following fee types: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Cwm, LLC.

Available

  • Offered by 70% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 21% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 33% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Offered by 10% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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Types of Clients

The company does business with a broad range of customers. The firm works with retail investors, high net worth investors, pension plans, insurance companies and corporations. Out of its 82,314 clients, Cwm, LLC's biggest client by number of accounts is retail investors, though it also manages money for 5,739 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 18.15%
  • Other Individuals - 80.75%
  • Corporations - 1.11%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Cwm, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Cwm, LLC

Russell Nieland
Omaha, NE
Tina Cicci
Foxboro, MA
Robert Dumas
Thibodaux, LA
Dustin Ford
Omaha, NE
J Cameron Zabko
Omaha, NE
Benjamin Hewlett
Midvale, UT
Randy Harrison
Omaha, NE
Daniel Adams
Kennewick, WA
Patrick Sittner
Omaha, NE

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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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