DFX Intelligence

C••••••• P••••••• A•••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••••• P••••••• A•••••• S•••••••• L••

CRD 174474

LEAWOOD, KS

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Search this name across graphsid dfx:ria:07d562e4-f9a6-7b94-132e-ab422a416b4f

Data as of Jan 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2015 to Jan 30, 2015
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
••••••• S•••••• A••• B•••	DIRECTOR - A•••••• SERVICES	Na	yes	01/2015	Jan 29, 2015	Jan 30, 2015
D•••••• J••••• A•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2015	Jan 29, 2015	Jan 30, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• P•••••••• I•••	n/a	Independent wealth	$296B	N	yes	n/a
C••••••• P••••••• B•••••••	n/a	n/a	n/a	N	yes	n/a
C••••••• P••••••• R••• M•••••••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Relationships

Affiliated with (1)

→ C••••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← ••••••• S•••••• A••• B•••OwnerDIRECTOR - A•••••• SERVICES, ownership code NA, individual
Jan 29, 2015 to presentfactForm ADV
← M••••••• P••••• A•••OwnerMANAGING MEMBER AND PRESIDENT, ownership code E, individual
Jan 29, 2015 to presentfactForm ADV
← D•••••• J••••• A•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Jan 29, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07d562e4-f9a6-7b94-132e-ab422a416b4f
First observed: Jan 29, 2015
Last observed: Jan 30, 2015 141 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.