DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S•••••• A•••••••

S•••••• A•••••••, INC., CRD 111953

LEAWOOD, KS

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Search this name across graphs

Data as of Mar 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Feb 2, 2012 to Mar 17, 2020
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

S•••••• A•••••••

Investment consultant · key_crd, shared_crd

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: $707M••• Locked
Discretionary RAUM: $707M
Private client RAUM: $610Mderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• D••••• P•••	CHAIRMAN / CHIEF INVESTMENT OFFICER / ASSISTANT COMPLIANCE OFFICER	D	yes	11/1993	Feb 2, 2012	Mar 17, 2020
S••••• S•••••• R•••••	President	C	yes	02/2008	Feb 2, 2012	Mar 17, 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	$707M	$621M	13.8%	$510M	11.5%	6	6	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P•••••••	2	Apr 27, 2020	Apr 30, 2020	LEAWOOD, KS	Team lift out	RIA to RIA	50.0%

Relationships

Controls (2)

← S••••• S•••••• R•••••OwnerPRESIDENT, ownership code C, individual
Feb 2, 2012 to presentfactForm ADV
← S••••• D••••• P•••OwnerCHAIRMAN / CHIEF INVESTMENT OFFICER / ASSISTANT COMPLIANCE OFFICER, ownership code D, individual
Feb 2, 2012 to presentfactForm ADV

Owns (3)

← W••••• S••••• S••••OwnerADVISOR ON SABBATICAL, ownership code A, individual
Mar 17, 2020 to presentfactForm ADV
← W••••• D••••• T•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 2, 2012
Last observed: Mar 17, 2020 79 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.