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CRD 106338
LEAWOOD, KS
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| K•••••• L• G•••• | Chartered Financial Analyst | LEAWOOD, KS | 35 | 36 | n/a | no |
| J••• M•••••• W••••••••• | Chartered Financial Analyst | LEAWOOD, KS | 17 | 25 | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G••••• K••••••• L• | PRESIDENT/DIRECTOR | C | yes | 02/1990 | Mar 21, 2012 | Aug 9, 2024 |
| R•••••• B••••••• J••• | CHIEF COMPLIANCE OFFICER/DIRECTOR/ASST SECRETARY | Na | yes | 12/2005 | Mar 21, 2012 | Aug 9, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 16.7% | 0 | 0 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $847M | $861M | -1.6% | $661M | 8.6% | 11 | 9 | 0 | 0 |
| no |
| P••••• A••••• K••••• | Chartered Financial Analyst | LEAWOOD, KS | 17 | 20 | n/a | no |
| C••••••• E• D•••••••• | n/a | LEAWOOD, KS | 14 | 25 | n/a | no |
| M•••• H• G•••• | Chartered Financial Analyst | LEAWOOD, KS | 3 | 13 | n/a | no |
| Q•••• B• D••••• | Chartered Financial Analyst | LEAWOOD, KS | 0 | 10 | n/a | no |
| VICE PRESIDENT/DIRECTOR/SECRETARY |
| C |
| yes |
| 11/2004 |
| Mar 21, 2012 |
| Aug 9, 2024 |
| D••• R•••••• M• | Shareholder | Na | no | 08/2024 | Aug 9, 2024 | Aug 9, 2024 |
| D••••••••• C•••••••• E• | Director | B | no | 12/2012 | Mar 5, 2013 | Aug 9, 2024 |
| G••••• M••••• H• | Shareholder | B | no | 05/2024 | Jun 5, 2024 | Aug 9, 2024 |
| K•••••• P•••••• A••••• | Director | B | no | 06/2017 | Jun 30, 2017 | Aug 9, 2024 |
| Mar 27, 2026 |
| $847M |
| $847M |
| 11 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $861M | $861M | 9 | 6 | 0 | n/a | n/a |
| 2023 | Mar 27, 2024 | $763M | $763M | 11 | 8 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $661M | $661M | 11 | 8 | 0 | n/a | n/a |
| 2021 | Mar 29, 2022 | $787M | $787M | 11 | 8 | 0 | n/a | n/a |
| 2020 | Mar 23, 2021 | $666M | $666M | 12 | 7 | 0 | n/a | n/a |
| 2019 | Mar 20, 2020 | $591M | $591M | 13 | 7 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $519M | $519M | 13 | 7 | 0 | n/a | n/a |
| 2017 | Mar 28, 2018 | $554M | $554M | 13 | 7 | 0 | n/a | n/a |
| 2016 | Mar 23, 2017 | $567M | $567M | 12 | 7 | n/a | n/a | n/a |
| 2015 | Mar 10, 2016 | $630M | $630M | 12 | 7 | n/a | n/a | n/a |
| 2014 | Mar 12, 2015 | $675M | $675M | 12 | 7 | n/a | n/a | n/a |
| 2013 | Mar 20, 2014 | $684M | $684M | 12 | 7 | n/a | n/a | n/a |
| 2012 | Mar 5, 2013 | $626M | $626M | 11 | 6 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $609M | $609M | n/a | n/a | n/a | n/a | n/a |