CWM, LLC

RIASEC RegisteredEst. 2011
Total AUM
$50.6B
Discretionary
$49.5B
98% of AUM
Avg account
$328K
Accounts
154,206
Employees
1,416
Advisory reps
642

Firm details

Headquarters
OMAHA, Nebraska
CRD number
155344
Registered since
January 3, 2011
Website
www.carsonwealth.com
Custodians
CHARLES SCHWAB & CO., INC., NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types
  • Individuals47.19%
  • HNWI43.31%
  • Corporations / Businesses4.98%
  • Pension & Profit Sharing Plans4.52%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Cwm, LLC is an SEC-registered independent registered investment adviser that acts as a capital allocator for both individual/family and institutional clients. Registered in 2011, the firm provides financial planning, discretionary portfolio management for individuals and small businesses, and manager selection services. Its fee model includes asset-based fees as well as hourly and fixed-fee arrangements. Cwm maintains affiliations with a broker‑dealer, other investment advisers and an insurance company, and is not positioned as an active ESG investor. The firm has received industry recognition, including placement on the Financial Times Top 300 RIA list (2020), a Top RIA Firms mention from FA Magazine (2020), and repeated inclusion on Citywire’s 50 Growers Across America list from 2020 through 2025.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 57%, Exchange Traded Equities 24%, Cash & Cash Equivalents 7%, Other 7%, Non-Exchange Traded Equities 1%, Investment Grade Corp Bonds 1%57%
  • Public Funds/Mutual Funds57%
  • Exchange Traded Equities24%
  • Cash & Cash Equivalents7%
  • Other7%
  • Non-Exchange Traded Equities1%

Owners & executives

3 of 40

  • BRIANNE BRUCKER DERVELOY

    Chief Executive OfficerCRD 6915150

  • SHANNA RIVERA

    Chief Relationship OfficerCRD 3184944

  • ZACHARY GREEN

    Chief Growth OfficerCRD 6309329

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Contacts

3 of 602

  • Leslie Schroeder

    Wealth AdvisorCRD 5940951

  • MATTHEW ALSPAUGH

    Registered RepresentativeCRD 6403281

  • RHIANA WHITMIRE

    Head of Client ExperienceCRD 6397653

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 2,144

Active vs passive

$34B in ETFs

Passive

66%

$22.3B

Active

25%

$11.7B

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$911M1,394,5032.68%
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Location

Primary office

OMAHA, NE

DOUGLAS

Location

OMAHA, NE

Headquartered in OMAHA, NE, anchoring the Omaha-Council Bluffs-Fremont, NE-IA metro in the Midwest.

Metro area
Omaha-Council Bluffs-Fremont, NE-IA
Region
Midwest
County
DOUGLAS
Address
14600 Branch St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth