Bancwest Investment Services, Inc. (Omaha)


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.

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