DFX Intelligence

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

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

L••••• F•••••••• I••

CRD 117178

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:34de0297-7f97-ff42-6e4d-e6e1e029229a

Data as of Jun 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 98
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2011 to Jun 27, 2017
49 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: $3.1B••• Locked
Discretionary RAUM: $2.7B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 125
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• L• L••••• T•••• D•••• N••••••• 1•• 2•••	MAJORITY SHAREHOLDER	E	yes	11/2004	Oct 28, 2016	Jun 27, 2017
K•••• L• L••••• T•••• D•••• N••••••• 1•• 2•••	MAJORITY SHAREHOLDER	E	yes	11/2004	Oct 28, 2016	Jun 27, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LITTLE ROCK	Ar	United States	n/a	no
GREENWOOD VILLAGE	Co	United States	n/a	no
Hiawatha	Ia	United States	n/a	no
ORLAND PARK	IL	United States	n/a	no
Wayzata	Mn	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 7, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$3.1B	$2.5B	23.7%	$1.6B	25.4%	125	108	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• J•••• A•••• M••••••••• I•••	2	Nov 28, 2017	Dec 16, 2003	OVERLAND PARK, KS	Team lift out	Other	100.0%

Relationships

showing 80 of 98

Controls (3)

← L•••••• K••••• L••OwnerTRUSTEE, ownership code F, individual
Dec 5, 2011 to presentfactForm ADV
← S•••••••• A•••••• F•••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Aug 11, 2015 to presentfactForm ADV
← K•••• L• L••••• T•••• D•••• N••••••• 1•• 2•••OwnerMAJORITY SHAREHOLDER, ownership code E, domestic entity
Oct 28, 2016 to presentfactForm ADV

Registered with (75)

← T•• D•••• H••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34de0297-7f97-ff42-6e4d-e6e1e029229a
First observed: Dec 5, 2011
Last observed: Jun 27, 2017 112 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.