Mutual Of Omaha Investor Services, Inc. (Omaha)


Mutual Of Omaha Investor Services, Inc. is a multi-state adviser based in Omaha. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Mutual Of Omaha Investor Services provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mutual Of Omaha Investor Services, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard William Healey serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Richard William Healey is individuals with 4,230 clients and $0 of assets under management. Among the 4 most similar advisory firms, Mutual Of Omaha Investor Services has the highest percentage of individuals out of all clients.

None of the firm’s clients are foreign persons or businesses.

Mutual Of Omaha Investor Services doesn't advise any private funds.

Careers at Mutual Of Omaha Investor Services, Inc.

The company employs 375 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 375 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Richard William Healey has been acting as President since 1 May 2016. Adam D Proskovec joined the executive team most recently as the Vice President And Principal Operations Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
John William Weekly Chairman of the board 1 Oct 1993 Other 1473621
Mary Jane Huerter Director/secretary 1 Oct 1993 Other 1822215
William Joseph Bluvas Vp finance & treasurer - finop- chief compliance officer 1 Oct 1993 Other 24298
Linda Kay Augustyn Vp sales, marketing, & communication 1 Dec 1995 Other 274700
Richard Allen Witt President/director 1 May 1996 Other 2755587
Mutual Of Omaha Holdings Inc. Owner 1 Jan 1997 75% - 100% 91-1756928
Randy Craig Horn Director 1 Nov 1999 Other 4096082
John Ashley Sturgeon Director 1 Mar 2000 Other 1473617
Terrance Shawn Dewald Vice president/director 1 Jan 2002 Other 3173980
Daniel Paul Neary Director 1 Oct 2003 Other 4725682
Michael Edward Huss Vice president 1 Jun 2004 Other xxx-xx-xxxx
Michael Anthony Larkin Chief compliance officer 1 Jun 2005 Other 2759613
Michael Anthony Larkin Vice president, chief compliance officer 1 Apr 2007 Other 2759613
Amy Joan Saar Owens Vice president and assistant treasurer 1 Apr 2007 Other 1223854
Amy Joan Saar Owens President, asst. secr. & treas., finop 1 Apr 2009 Other 1223854
Amy Joan Saar Owens Vice president, asst. secr. & treas., finop 1 Sep 2009 Other 1223854
Keith James Kelly President 1 Sep 2009 Other 2618812
Richard C Anderl Director 1 Jan 2010 Other 4502157
John Lee Haver Director 1 Jan 2010 Other 4180468
Daniel Paul Martin Director 1 Jan 2010 Other 5789351
David Andrew Diamond Director 1 Jan 2010 Other 5789356
Amy Joan Saar Owens President, finop 1 Sep 2010 Other 1223854
Kevin P Mccoy Treasurer 1 Mar 2011 Other 5907589
Michael Joseph Jareske Treasurer 1 May 2011 Other 5935525
Amy Joan Saar Owens Chief operating officer, finop 1 Aug 2011 Other 1223854
Lamar Stewart Jones Director of operations 1 Oct 2011 Other 838681
Amy Joan Saar Owens Chief operating officer, chief compliance officer 1 Sep 2012 Other 1223854
Thomas Ryan Oldham Chief compliance officer 1 Nov 2012 Other 4469948
Adam D Proskovec Director of supervision & operations 1 Dec 2014 Other 4957628
Richard William Healey President 1 May 2016 Other 2000584
Adam D Proskovec Vice president 1 Jan 2018 Other 4957628
Adam D Proskovec Vice president and principal operations officer 1 Sep 2018 Other 4957628
Evan Richard Bees Principal financial officer 1 Sep 2018 Other 4662845

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Mutual Of Omaha Insurance Co. Owner 1 Sep 1993 75% - 100% 47-0246511

Based in Omaha

The principal office where Mutual Of Omaha Investor Services, Inc. performs its advisory services is located at 3300 Mutual Of Omaha Plaza, Omaha, NE 68175 1020, which is also the mailing address of the firm. An additional office of the firm is in Tampa, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-351-5770 or by fax 866-807-9215. The normal business hours are 8:00 - 4:30 cst/cdt on Monday - Friday. You can find more information about the New York firm at mutualofomaha.com/.

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