DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C••••••••• S••••••••• L••

CRD 140379

OVERLAND PARK, KS

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Data as of Sep 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 4
On other graphs: 0
Observed: Nov 24, 2020 to Sep 21, 2026
14 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $210M••• Locked
Discretionary RAUM: $210M
Private client RAUM: $210Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $21.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• E••••• F•••••	n/a	OVERLAND PARK, KS	20	26	6	no
T•••••• J••• S••••••	n/a	ARLINGTON HEIGHTS, IL	11	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• R••••••• E•••••	CEO/CHIEF COMPLIANCE OFFICER	E	yes	04/2006	Nov 24, 2020	Mar 30, 2022

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
OVERLAND PARK	Ks	United States	2	no
ANAHEIM HILLS	CA	United States	1	no
CAPE CORAL	FL	United States	1	no
ARLINGTON HEIGHTS	IL	United States	1	yes
OVERLAND PARK	Ks	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$210M	n/a	n/a	n/a	n/a	10	n/a	3	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••• F•••••••• P•••••••• I•••	2	Oct 6, 2015	Sep 22, 2015	OVERLAND PARK, KS	Team lift out	Other	28.6%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••• C•••••• S••••••••• L•••	3	Oct 2, 2015	Sep 3, 2014	ARLINGTON HEIGHTS, IL	Team lift out	Other	3.3%

Relationships

Registered with (20)

← G••• H••••••••Advisorregistration: current employment
Mar 30, 2026 to presentfactForm ADV
← J•• R••••• F•••••••Advisorregistration: current employment
Mar 4, 2025 to presentfactForm ADV
← S••••• M•••••• S•••••••Advisorregistration: previous registration
Nov 19, 2019 to Dec 31, 2024factForm ADV
← M•••• C••••••

Dated events

Order

Occurred
21 Sep 2026
Ria office closed2 events
C••••••••• S••••••••• L••: ria office closed, 2 events, on 21 Sep 2026
- ••• Locked
- ••• Locked
Occurred
29 Nov 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
24 Nov 2020
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 24, 2020
Last observed: Sep 21, 2026 2 days 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.