DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

I••••••••• W••••• A••••••• S•••••••• I•••

CRD 115821

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:707d39e8-c5ed-dcd6-fc98-d73e5ec22a09

Data as of Feb 23, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Apr 2, 2012 to Feb 23, 2023
31 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: $379M••• Locked
Discretionary RAUM: $379M
Private client RAUM: $368Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••• B•••• L••	Shareholder	C	yes	01/2013	Mar 19, 2013	Feb 23, 2023
S••••• C••••• L••	CHIEF COMPLIANCE OFFICER, PRESIDENT	C	yes	01/2006	Apr 2, 2012	Feb 23, 2023

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$379M	$391M	-3.1%	$297M	8.5%	7	6	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• W••••• M••••••••• I•••	2	May 31, 2023	Sep 15, 2017	OVERLAND PARK, KS	Team lift out	RIA to ibd	66.7%

Relationships

Controls (3)

← S••••• C••••• L••OwnerCHIEF COMPLIANCE OFFICER, PRESIDENT, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV
← D••• B•••• L••OwnerSHAREHOLDER, ownership code C, individual
Mar 19, 2013 to presentfactForm ADV
← W•••••• T•••• A•OwnerSHAREHOLDER/ASSISTANT COMPLIANCE OFFICER, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV

Registered with (3)

← B••• L•• D••Advisor

Dated events

Occurred
May 31, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
May 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 31, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:707d39e8-c5ed-dcd6-fc98-d73e5ec22a09
First observed: Apr 2, 2012
Last observed: Feb 23, 2023 43 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.