Pflug Koory, LLC (Omaha)

Name: Pflug Koory, LLC
Address: 11312 'Q' Street, Omaha, NE, 68137
Telephone: 402-691-0988

Pflug Koory, LLC is a large advisory firm based in Omaha. It manages $188.06 million of regulatory assets for 116 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Nebraska and Texas.

Pflug Koory provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pflug Koory: assets under management

The assets under management (AUM) of Pflug Koory, LLC is $188.06 million. The firm's AUM has grown by 383% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $147.72 million in discretionary accounts and $40.34 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.36 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.76 million.

Investments

The firm invests in exchange traded securities the most. They account for 57% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 17% of the firm’s portfolio. Investments in pooled investment vehicles form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pflug Koory, LLC for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pflug Koory serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Pflug Koory is high net worth individuals with 36 clients and $135.26 million of assets under management. Among the 10 most similar advisory firms, Pflug Koory has the 5th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $188.06 million for 121 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.

Pflug Koory doesn't advise any private funds.

Careers at Pflug Koory, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Frederick Pflug	President & chief compliance officer	1 Sep 2000	50% - 75%	2148752
Marcia Ann Koory	Vice-president	1 Sep 2000	25% - 50%	1148754

Based in Omaha

The principal office where Pflug Koory, LLC performs its advisory services is located at 11312 'Q' Street, Omaha, NE 68137, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-691-0988 or by fax 402-691-0251. The normal business hours are 8:00am to 4:00pm on Monday - Friday. You can find more information about the New York firm at pkllc.com/.