Kansas City, MO Office
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Lincoln Investment
Enterprise
Firm-wide stats for Lincoln Investment
About
Lincoln Investment serves individuals (including high‑net‑worth clients), charitable organizations, businesses and many employer‑sponsored retirement plans, with a longstanding focus on educators and 403(b)/457(b) participants. The firm provides financial planning, ERISA retirement plan advice, advisor‑managed and firm‑managed model portfolios, wrap and non‑wrap programs, and also operates as a broker‑dealer and insurance agency in addition to its SEC‑registered RIA activities.
The firm manages a mix of in‑house and third‑party strategies overseen by an Investment Management & Research team that employs both strategic (asset‑allocation/rebalancing) and dynamic/tactical approaches — including quantitative screens, a Fund Selector process and Adaptive Intelligence models that use neural‑network inputs. Lincoln Investment offers both discretionary and non‑discretionary programs; as of December 31, 2025 it reported about $22.9 billion in advisory assets, with a notable $10.0 billion maintained on a non‑discretionary basis.
Several operational features distinguish Lincoln from many peers: it functions as an introducing broker‑dealer in a clearing relationship with Pershing and, for some accounts, is deemed to have custody and undergoes surprise exams; it operates a sweep program that uses bank deposit sweeps and a Dreyfus government cash sweep product; and it conducts commissionable insurance and brokerage activities and receives various sales‑and‑marketing and revenue‑sharing payments. The brochure discloses those arrangements, notes steps taken to mitigate conflicts (for example, crediting certain 12b‑1 revenue on Pershing accounts and supervisory disclosures), and describes how advisors and the firm disclose and manage potential conflicts of interest.
Based on Lincoln Investment
Expertise
Based on Lincoln Investment
Occupation focus
Based on Lincoln Investment
Location
Suite 823, 1600 Genessee Street
Kansas City MO 64102
Advisors at this office
3
Advisors at this office
Rex S
Series 63, Series 65
Kansas City, MO
Lincoln Investment
Rex Swartz II is a financial advisor with Lincoln Investment in Kansas City, MO, holding Series 63 and Series 65 licenses and bringing 32 years of industry experience. He has been with Lincoln Investment Planning, Inc. since 1995. Lincoln Investment serves individuals, charitable organizations, businesses, and employer-sponsored retirement plans, with a focus on educators and 403(b)/457(b) participants. The firm offers financial planning, ERISA retirement plan advice, and a range of investment programs, utilizing a mix of strategic and tactical approaches overseen by an Investment Management & Research team.
David C
Series 63, Series 66
Kansas City, MO
Lincoln Investment
David Cuba is a financial advisor at Lincoln Investment with 34 years of industry experience. He holds Series 63 and Series 66 licenses and has been with Lincoln Investment Planning, Inc. since 1995. Outside of his advisory role, he is the owner of DKKT Holdings LLC, a holding company. Lincoln Investment serves individuals, charitable organizations, businesses, and employer-sponsored retirement plans, with a particular focus on educators and 403(b)/457(b) participants. The firm offers financial planning, ERISA retirement plan advice, and a variety of managed portfolio programs, utilizing both strategic and dynamic investment approaches overseen by an Investment Management & Research team.
Douglas N
CFP®, Series 63, Series 65
Kansas City, MO
Lincoln Investment
Douglas Nelson is a CFP® professional with 26 years of experience in financial advising, currently with Lincoln Investment since 2011. He previously worked at Valic Financial Advisors for eight years. Nelson is also a lecturer at the University of Nebraska-Lincoln, where he teaches retirement planning, employee benefits, and supervises students in family financial planning. Additionally, he provides on-demand financial counseling to reserve component servicemembers and serves as head boys varsity basketball coach at Prairie View USD 362. Lincoln Investment serves individuals, charitable organizations, businesses, and employer-sponsored retirement plans, with particular focus on educators and 403(b)/457(b) participants. The firm offers a range of financial planning and investment management solutions, employing both strategic and tactical approaches, and manages approximately $22.9 billion in advisory assets.
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