DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

M•••••• W••••• M••••••••• I••

CRD 306973

TOPEKA, KS

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Search this name across graphsid dfx:ria:46ced7a1-547d-06b7-dbcb-78e436c4b48d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2026 to Mar 27, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $230,000••• Locked
Discretionary RAUM: $230,000
Private client RAUM: $230,000derived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• A••• L••••	n/a	Topeka, KS	6	19	2	no
C•••• N•••••••• L••••	n/a	TOPEKA, KS	3	22

Relationships

Registered with (2)

← C•••• N•••••••• L••••Advisorregistration: current employment
Feb 10, 2023 to presentfactForm ADV
← C•••• A••• L••••Advisorregistration: current employment
Mar 13, 2020 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46ced7a1-547d-06b7-dbcb-78e436c4b48d
First observed: Mar 27, 2026
Last observed: Mar 27, 2026 5 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.