DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••••••• L••

CRD 129208

OVERLAND PARK, KS

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:4b99acef-3a7c-fba0-2828-3f1a33223f3b

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2018
20 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-62494
CRD: 129208

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• L••••• E••••••	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL	Na	yes	03/2016	Mar 30, 2018	Mar 30, 2018
B••••••••• E•••••• R••••••	CHIEF OPERATING OFFICER	Na	yes	01/2013	Jan 11, 2013	Mar 30, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• E•••••• A••••••• L•••••	n/a	Independent wealth	$326B	N	yes	n/a
T••• I•••••••• A•••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	$38.9M	n/a	$51.2M	n/a	5	5	1	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••• F•••••••• E••••••	2	Aug 22, 2018	Jan 7, 2020	OVERLAND PARK, KS	Team lift out	Other	100.0%

Relationships

Affiliated with (18)

→ E•••••• F•••••••• E••••••Registered adviserother investment adviser, common control
factForm ADV
← F•••••••• E•••••• A•••••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV
← T•• M••••• F••• R••••••• C•••••• R••••••• C•••••Registered adviserother investment adviser, common control
factForm ADV
← T••• A••••••• S•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b99acef-3a7c-fba0-2828-3f1a33223f3b
First observed: Mar 30, 2012
Last observed: Mar 30, 2018 103 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.