Kirkpatrick, Pettis, Smith, Polian Inc. (Omaha)

Name: Kirkpatrick, Pettis, Smith, Polian Inc.
Address: 10250 Regency Circle, Omaha, NE, 68114
Telephone: 402-397-5777

Kirkpatrick, Pettis, Smith, Polian Inc. is a large advisory firm based in Omaha. It manages $600 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Colorado and Nebraska.

Kirkpatrick, Pettis, Smith, Polian provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kirkpatrick, Pettis, Smith, Polian: assets under management

The assets under management (AUM) of Kirkpatrick, Pettis, Smith, Polian Inc. is $600 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 401% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $600 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $600 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Kirkpatrick, Pettis, Smith, Polian Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Kirkpatrick, Pettis, Smith, Polian Inc.

Mary Jane Huerter has been acting as President since 1 Oct 1996. Samuel Charles Doyle joined the executive team most recently as the Evp, Manager, Fixed Income Capital Mkts, Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Ashley Sturgeon	Director	1 Aug 1983	Other	1473617
John William Weekly	Director	1 Aug 1983	Other	1473621
Samuel Charles Doyle	Executive vp, manager fixed income capital mkts	1 Apr 1992	Other	801998
Kfs Corporation	Owner	1 May 1996	75% - 100%	47-0799696
Joanne R Harrell	Director	1 Sep 1996	Other	2816397
Mary Jane Huerter	Director	1 Oct 1996	Other	1822215
Kenneth R Cook	Director	1 Apr 1997	Other	2911532
Reid Duane Houser	Vice president, compliance	1 Jun 1998	Other	2340399
William James Zelasko	Vice president, manager operations	1 Jun 1999	Other	2979086
Richard Allen Witt	Director	1 Feb 2000	Other	2755587
Brian Paul Mcginty	Executive vp, chief compliance officer	1 Oct 2000	Other	3224216
Jeffrey Norman Sime	Evp, treasurer	1 Nov 2000	Other	1554798
Kurt William Kitson	Senior vp / cfo	1 Nov 2000	Other	2284435
Leroy Christian Petersen	President, ceo	1 Feb 2001	Other	361204
Robert Harris Iii Cooper	Svp / manager, private client services	1 Apr 2001	Other	1712575
Brian Paul Mcginty	Executive vp, general counsel	1 Jul 2001	Other	3224216
Reid Duane Houser	Vice president, chief compliance officer	1 Jul 2001	Other	2340399
Jeffrey Norman Sime	Evp, cao	1 Nov 2001	Other	1554798
Kurt William Kitson	Svp, cfo, treasurer / secretary	1 Nov 2001	Other	2284435
Kent Jeffrey Lund	Evp, general counsel	1 Jul 2002	Other	3191357
Samuel Charles Doyle	Evp, manager, fixed income capital mkts, director	1 Jan 2003	Other	801998
Kurt William Kitson	Evp, cfo, treasurer, director	1 Jan 2003	Other	2284435
Leroy Christian Petersen	President, ceo, director	1 Jan 2003	Other	361204
Kent Jeffrey Lund	Evp, general counsel, secretary, director	1 Jan 2003	Other	3191357
John Edward Kuehl	Evp, director	1 Jan 2003	Other	1215456
Jacqueline Ann Beauprez	Vp, compliance officer, associate legal cousel	1 Jan 2003	Other	4075012

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mutual Of Omaha Insurance Company	Owner	1 Aug 1983	75% - 100%	47-0246511

Based in Omaha

The principal office where Kirkpatrick, Pettis, Smith, Polian Inc. performs its advisory services is located at 10250 Regency Circle, Omaha, NE 68114, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-397-5777 or by fax 402-392-7875. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.kirkpatrickpettis.com.