Bancwest Investment Services, Inc. (Omaha)

Name: Bancwest Investment Services, Inc.
Address: 13220 California Street, Omaha, NE, 68154 9750
Telephone: 800-338-3919

Bancwest Investment Services, Inc. is a large advisory firm based in Omaha. It manages $1.53 billion of regulatory assets for 8,147 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Bancwest Investment Services provides portfolio management for individuals and small businesses, selection of other advisers, and selection of wrap fee programs. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Bancwest Investment Services: assets under management

The assets under management (AUM) of Bancwest Investment Services, Inc. is $1.53 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 272% since the beginning of its operation, and $397.15 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $1.53 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $187.96 thousand each.

Bancwest Investment Services has custody of $15.23 billion in cash and securities for 6,737 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 54% of the total AUM. The second-largest asset type is investment and business development companies, which make up 24% of the firm’s portfolio. Investments in exchange traded securities form 15% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Bancwest Investment Services, 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.

What kind of clients Randall Lee Ciccati serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Randall Lee Ciccati is individuals with 6,568 clients and $1.41 billion of assets under management. Among the 10 most similar advisory firms, Bancwest Investment Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $1.53 billion for 6,737 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Bancwest Investment Services doesn't advise any private funds.

Careers at Bancwest Investment Services, Inc.

The company employs 361 people that are either part- or full-time employees. 68 percent of the employees work as investment advisers or researchers. 312 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Randall Lee Ciccati has been acting as President since 1 Feb 2000. Rollin Lynn Biel joined the executive team most recently as the Bwis Vice President Chief Financial Officer/Pfo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Corbett A K Kalama	Executive vice president	1 Mar 1982	Other	5931561
Randall Lee Ciccati	President/ceo/director	1 Feb 2000	Other	1569353
Margaret Jane Hill	Asst. secretary	1 Feb 2000	Other	xxx-xx-xxxx
Jean Marie Lund	Asst. vice president and treasurer	1 Feb 2000	Other	1995478
Kevin Paul Maas	Vp of compliance, asst. secretary	1 Feb 2000	Other	2692487
Kimberley Ann Holweger	Asst. vice president	1 Feb 2000	Other	1572778
Gregory Alan Olson	Asst. secretary	1 Feb 2000	Other	2692482
Inc. Primevest Financial Services	Sole sharholder	1 Feb 2000	75% - 100%	15340
Christopher Jon Reinholz	Asst. vice president	1 Feb 2000	Other	1961258
Loralee Ann Renelt	Asst. secretary	1 Feb 2000	Other	xxx-xx-xxxx
Leann Renee Rummelmccool	Vice president	1 Feb 2000	Other	1965155
Robert Charles Sallpante	Director	1 Feb 2000	Other	xxx-xx-xxxx
Clinton Sr Williams	Senior vice president/director	1 Jul 2001	Other	2479051
Boyd George Combs	Senior vice president	1 Aug 2001	Other	xxx-xx-xxxx
Valerie Ann Arendell	Vice president	1 Aug 2001	Other	1181763
Paula Cludray Engelke	Secretary	1 Aug 2001	Other	xxx-xx-xxxx
Allissa Archer Obler	Assistant secretary	1 Aug 2001	Other	xxx-xx-xxxx
Rebecca A Schoff	Assistant secretary	1 Aug 2001	Other	xxx-xx-xxxx
Glenn Black	Tax officer	1 Aug 2001	Other	xxx-xx-xxxx
Joseph J Elmy	Tax officer	1 Aug 2001	Other	xxx-xx-xxxx
George Michael Fell	Tax officer	1 Aug 2001	Other	xxx-xx-xxxx
James Taylor	Tax officer	1 Aug 2001	Other	xxx-xx-xxxx
William Zolkowski	Tax officer	1 Aug 2001	Other	xxx-xx-xxxx
Susan Kathryn Freund	Senior counsel	1 Apr 2002	Other	xxx-xx-xxxx
Mark Paul Shelson	Vice president/chief finanical officer	1 Jun 2002	Other	1819252
Edward Bruce Miller	Vice president	1 Jun 2002	Other	1680275
Mark Francior Oyadomori	Bwis board of directors - bwis sr. vice president	1 Nov 2003	Other	1261794
Peter Steven Frontiero	Senior vice president / director	1 Nov 2003	Other	1086141
Lisa Mary Standen	President / director	1 Nov 2003	Other	xxx-xx-xxxx
Daniel Frank Santucci	Cfo / director	1 Nov 2003	Other	xxx-xx-xxxx
Bancwest Corp	Sole shareholder	1 Nov 2003	75% - 100%	99-0156159
Frank John Bonetto	Director	1 Nov 2003	Other	xxx-xx-xxxx
Casey S Copus	Senior vice president / director	1 Nov 2003	Other	xxx-xx-xxxx
Donald G Horner	Director	1 Nov 2003	Other	xxx-xx-xxxx
Kathleen Marie Doub	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Cheryl Ann Farley	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Dave Mitsuaki Kato	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Fred Brian Michutka	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Salvatore Sam Travale	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Robert Reed Amdahl	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Craig Stephen Avellar	Vice president	1 Nov 2003	Other	xxx-xx-xxxx
Donald Gordon Horner	Director	1 Nov 2003	Other	843431
Joanne Jane Markajimine	Vice president	1 Feb 2004	Other	2757522
Douglas C Grigsby	Director	1 Apr 2004	Other	xxx-xx-xxxx
Anthony Guerrero	Vice chairman	1 Apr 2004	Other	xxx-xx-xxxx
Doug C Grigsby	Director	1 Apr 2004	Other	4792597
Bradley Jon Rasmus	Director	1 Jan 2005	Other	xxx-xx-xxxx
Bank Of The West	Sole shareholder	1 Feb 2005	75% - 100%	94-0475440
Kehaunani Frank Shayler	Vice president	1 Jun 2005	Other	1327605
Howard Pyle Jr Bradford	Vice president	1 Jun 2005	Other	2300295
Norma Waters	Director	1 Oct 2005	Other	5135749
Lisa Mary Standen	National sales executive	1 Jan 2006	Other	1408866
Bradley Scott Grubb	President/ceo	1 Jan 2006	Other	1732734
Kimberley Sue Diamond	Vice president	1 Feb 2006	Other	874757
Robert Joseph Stastny	Bwis vice president, chief financial officer	1 Mar 2006	Other	5084163
Daniel Frank Santucci	Vice president	1 Mar 2006	Other	2151427
Brett Anthony Lammers	Chief operations officer	1 Mar 2006	Other	2162823
Christopher Daniel Gryzen	Crop/srop/vice president	1 Apr 2006	Other	2702748
Timothy Royce Bush	Vice president	1 May 2006	Other	3276071
Troy Shawn Lettau	Vice president	1 May 2006	Other	1675210
Judith Ann Axtman	Chief administrative officer	1 May 2006	Other	2301449
Craig James Samuelson	Vice president	1 Jun 2006	Other	2914776
Thomas Joseph Fitzpatrick	Vice president	1 Jul 2006	Other	1148963
Christopher Richard Counce	Regional sales manager, vice president	1 Aug 2006	Other	2227241
Richard C Gillispie	Regional sales manager, vice president	1 Aug 2006	Other	2777124
John Michael Shepherd	President and chief operating officer	1 Aug 2006	Other	xxx-xx-xxxx
Jason Lee Meysenburg	Bwis vice president, product / ria manager	1 Oct 2006	Other	2724741
Sherilynn Miyo Fujimoto	Regional sales manager	1 Nov 2006	Other	2982902
Arthur Ray Hansen	Vice president	1 Jan 2007	Other	1200211
Craig James Samuelson	Vice president, regional sales manager	1 Feb 2007	Other	2914776
John Anthony Baumhover	Regional sales manager, vice president	1 Feb 2007	Other	2204883
Janice Christina Decker	Assistant secretary	1 Feb 2007	Other	2275308
Vawn Patricia Wyatt	Assistant secretary	1 Feb 2007	Other	5365656
Cheryl Ann Farley	Vice president, national sales manager	1 Apr 2007	Other	1475242
David William Mcclanahan	Vice president, regional sales manager	1 May 2007	Other	2440343
Andrew John Harmening	Bwis board of directors	1 Jan 2008	Other	xxx-xx-xxxx
Thibault Dominique Marie Fulconis	Director (bank of the west - finance vice chair (officer))	1 Feb 2008	Other	5365658
Richard Daniel Byrd	Chairman of the board & director (senior executive vice president, bank of the west wealth management)	1 May 2008	Other	2869575
Christopher Richard Counce	Bwis vice president, divisional sales manager	1 Jul 2008	Other	2227241
Richard Enrique Blanco	Bwis vice president, regional sales manager	1 Nov 2008	Other	728248
Brandon James Hoffman	Bwis vice president, regional sales manager	1 Dec 2008	Other	2637055
Thomas Joseph Fitzpatrick	Bwis vice president, regional sales manager	1 Jan 2009	Other	1148963
Michael Joseph Riddle	Bwis vice president, regional sales manager	1 Mar 2009	Other	2208260
Steven H Lee	Bwis vice president, regional sales manager	1 Oct 2009	Other	5076565
Steven Henry Lee	Bwis vice president, regional sales manager	1 Oct 2009	Other	5076565
Raymond S Ono	Director (vice chairman of the business banking and wealth management group of fhb)	1 Jan 2010	Other	5751433
Raymond Shigeo Ono	Director (vice chairman of the business banking and wealth management group of fhb)	1 Jan 2010	Other	5751433
David Malcolm Bartholomew	Secretary	1 Jan 2010	Other	4674011
James Hiroshi Fujinaga	Bwis senior vice president, regional sales manager and acting president/ceo bwis	1 Mar 2010	Other	1267377
Maura Markus	Director - president and chief operating officer	1 Mar 2010	Other	1042130
Stephen Wellen Lee	Bwis vice president regional sales manager	1 May 2010	Other	4340396
David Anthony Jabczenski	Bwis vice president, regional sales manager	1 Aug 2010	Other	2254235
James Hiroshi Fujinaga	Bwis president/ceo and acting divisional sales manager	1 Sep 2010	Other	1267377
Jerrold Gonzalez Mauricio	Compliance officer, sr. vice president	1 Sep 2010	Other	3175743
Jonathon James Allen	Bwis vice president, divisional sales manager	1 Dec 2010	Other	2329509
Kathleen Van Der Wal	Ria compliance manager, vice president	1 Jan 2011	Other	1615263
Peter Steven Frontiero	Bwis compliance officer	1 Mar 2011	Other	1086141
Susan Rae Goodearl	Bwis sr.vp chief compliance officer/business unit compliance officer-wealth mgt botw	1 Mar 2011	Other	1266084
Greg Weiss	Bwis vice president, deputy chief compliance officer	1 Mar 2011	Other	xxx-xx-xxxx
Herbert John Marx	Bwis vice president, regional sales manager	1 Apr 2011	Other	1851415
John Eugene Iv Molnar	Vice president - compliance	1 Apr 2011	Other	2122235
John Robert Bahnken	Director - sr executive vice president, group head of wealth mgmt	1 Apr 2011	Other	2015708
Steven Howard Woodward	Bwis sr. vice president, chief operations officer	1 Aug 2011	Other	2422422
Troy Shawn Lettau	Bwis vice president, regional sales manager	1 Jan 2012	Other	1675210
Robert Scott Harrison	Bwis board of directors	1 Jun 2012	Other	5520605
John Robert Bahnken	Bwis board of directors	1 Jan 2013	Other	2015708
John Richard Morris	Bwis - sr. vice president	1 Jan 2013	Other	1131275
Steven William Hawkins	Bwis corporate secretary	1 Jan 2013	Other	4885548
Alan Hisashi Arizumi	Bwis board of directors	1 Jan 2013	Other	6161821
Madhukar Dayal	Bwis board of directors	1 Jan 2013	Other	6169701
Michael Bruce Kirkpatrick	Bwis vice president - insurance products manager	1 Jan 2013	Other	1242631
Susan Rae Goodearl	Bwis - sr.vice president	1 Jun 2013	Other	1266084
Greg Weiss	Bwis vice president, chief compliance officer	1 Jun 2013	Other	xxx-xx-xxxx
Gregory Weiss	Bwis vice president - chief compliance officer	1 Jun 2013	Other	xxx-xx-xxxx
Gregory Michael Weiss	Bwis sr. vice president - chief compliance officer	1 Jun 2013	Other	xxx-xx-xxxx
Dale Robert Niemi	Bwis board of directors - bwis president/ceo	1 Feb 2014	Other	2135442
Neill A Char	Bwis board of directors	1 Apr 2014	Other	6340996
Neill Alan Char	Bwis board of directors	1 Apr 2014	Other	6340996
Jenny Lynn Otness	Bwis vice president - product manager	1 Jun 2014	Other	4873297
Matthew William Benz	Bwis vice president - regional manager	1 May 2015	Other	5467399
Gregory C Gaffney	Bwis vice president - regional manager	1 Sep 2015	Other	1363456
Malia Little Jamal	Bwis vice president - regional manager	1 Sep 2015	Other	1681671
Larry Rex Stinson	Bwis vice president - regional manager	1 Sep 2015	Other	1619399
Michael Akeo Tottori	Bwis vice president - regional manager	1 Sep 2015	Other	3255621
Vernon Yew Cheong Wong	Bwis vice president - regional manager	1 Sep 2015	Other	1292191
Jason Lee Meysenburg	Bwis vice president - product manager	1 Sep 2015	Other	2724741
Gregory Christopher Gaffney	Bwis vice president - regional manager	1 Sep 2015	Other	1363456
John Robert Phillips	Bwis vice president - insurance product manager	1 Oct 2015	Other	1225737
Darin Keith Dubendorf	Bwis vice president - marketing product manager	1 Oct 2015	Other	1692187
Kaushal Pandia	Bwis vice president - digital banking services manager	1 Oct 2015	Other	6493438
Sean Michael Mullin	Bwis vice president - regional manager	1 Jan 2016	Other	3072104
Pierre Edouard Ramadier	Chairman - bwis board of directors	1 Jan 2016	Other	6775312
Jeremy Michael Dick	Bwis vice president - regional business supervisor manager	1 Jan 2016	Other	3164653
Darin Keith Dubendorf	Bwis sr. vice president - wmg head of client solutions	1 May 2016	Other	1692187
Jeffrey Paul Pruitt	Bwis vice president - investment advisor chief compliance officer	1 Nov 2016	Other	2455635
Jeff Paul Pruitt	Bwis vice president - investment advisor chief compliance officer	1 Nov 2016	Other	2455635
Jeffrey Patrick Hoffmann	Bwis sr.vice president - wmg head of sales	1 Jun 2017	Other	5859086
Rollin Lynn Biel	Bwis vice president - chief financial officer	1 Jul 2017	Other	5101711
Darin Keith Dubendorf	Bwis president/ceo - wmg head of client solutions	1 Mar 2018	Other	1692187
Rollin Lynn Biel	Bwis vice president - chief financial officer/pfo	1 Sep 2018	Other	5101711
John Calvin Hatfield	Bwis vice president - principal operations officer	1 Sep 2018	Other	4272399

Indirect Owners

The SEC currently registers 14 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
N.V. Ing Verzekeringen	Sole shareholder	1 Dec 1963	75% - 100%	foreign corp.
Ing Insurance International B.V.	Sole sharholder	1 Apr 1977	75% - 100%	foreign corp.
N.V. Ing Groep	Sole shareholder	1 Mar 1991	75% - 100%	foreign corp.
Reliastar Financial Corporation	Sole shareholder	1 Feb 2000	75% - 100%	41-1620373
Inc. Ing America Insurance Holdings	Sole shareholder	1 Sep 2000	75% - 100%	52-1222820
Bnp Paribas	Shareholder	1 May 2001	75% - 100%	94-1677765
Inc. Lion Connecticut Holdings	Sole shareholder	1 Dec 2002	75% - 100%	02-0488491
Bnp Paribas	Sole shareholder	1 Nov 2003	75% - 100%	13-3235334
Bancwest Corporation	Shareholder	1 Feb 2005	75% - 100%	99-0156159
Bnp Paribas	Sole shareholder	1 Feb 2005	75% - 100%	13-3235334
Bancwest Holding Inc.	Shareholder	1 Apr 2016	75% - 100%	81-1923501
Bancwest Corporation	Shareholder	1 Jul 2016	75% - 100%	81-1898596
Bnpp Usa	Shareholder	1 Jul 2016	75% - 100%	13-1929559
Inc. Bnp Paribas Usa	Shareholder	1 Jul 2016	75% - 100%	13-1929559

Based in Omaha

The principal office where Bancwest Investment Services, Inc. performs its advisory services is located at 13220 California Street, Omaha, NE 68154 9750, which is also the mailing address of the firm. An additional office of the firm is in Hayward, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-338-3919 or by fax 402-918-7698. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at bankofthewest.com/personal-banking/investments.