DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

P••••• S••••• B•• A•••••• L••

CRD 306742

MISSION WOODS, 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:5c1112b3-9525-6463-5646-c81789855473

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 0
Observed: Nov 26, 2019 to Mar 31, 2026
13 observations

Across DFX

name candidates only

Private Creditcandidate

P••••• S••••• B•• A•••••• L••

Credit provider · name unique adv

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=5.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 76

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• K• L••• I••••••••• T••••	Member	D	yes	10/2019	Nov 26, 2019	Mar 28, 2024
B•••• S••••• A•••••	CHIEF OPERATING OFFICER	Na	yes	11/2019	Nov 26, 2019	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••• S••••• C•••••• M••••••••• L••	n/a	Asset manager	$26B	Y	yes	n/a
P••••• S••••• E••••• C•••••• M••••••••• L••	n/a	Asset manager	$9.2B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	7	no
n/a	n/a	n/a	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.2B	$1.4B	-10.7%	$1.0B	6.3%	76	71	2	2

Relationships

Affiliated with (6)

← P••••• S••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ P••••• S••••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ P••••• S••••• E••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P••••• S••••• P•••••• C••••• M••••••••• L••Registered adviser

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$461M
Occurred
Mar 31, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 12, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 12, 2020
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c1112b3-9525-6463-5646-c81789855473
First observed: Nov 26, 2019
Last observed: Mar 31, 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.