DFX Intelligence

V•••••• I••••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

V•••••• I••••••••• P•••••••• L••

CRD 126208

KANSAS CITY, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0eb17d94-d186-00c1-111e-581614eadae3

Data as of Jun 18, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Dec 8, 2011 to Jun 18, 2020
25 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: $2.6B••• Locked
Discretionary RAUM: $2.6B
Private client RAUM: $2.5Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• L• V•• T•••	Grantor	F	yes	05/2019	Feb 28, 2013	Jun 18, 2020
M•••• C••••••• D••••	CHIEF COMPLIANCE OFFICER, DIRECTOR OF OPERATIONS	Na	yes	02/2017	Feb 20, 2017	Jun 18, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$2.6B	$2.1B	19.6%	$2.0B	9.3%	4	4	0	0

Relationships

Controls (5)

← M•••• C••••••• D••••OwnerCHIEF COMPLIANCE OFFICER, DIRECTOR OF OPERATIONS, ownership code NA, individual
Feb 20, 2017 to presentfactForm ADV
← W••••••• J•••• G•••••OwnerPRESIDENT, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 8, 2011 to presentfactForm ADV
← L•••• L• V•• T•••OwnerGRANTOR, ownership code F, domestic entity
Feb 28, 2013 to presentfactForm ADV
← P••••••• P••••••• T•••• C••••••• L••OwnerTRUSTEE, ownership code F, domestic entity
May 13, 2019 to present

Dated events

Occurred
May 13, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 13, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0eb17d94-d186-00c1-111e-581614eadae3
First observed: Dec 8, 2011
Last observed: Jun 18, 2020 76 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.