DFX Intelligence

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

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

M•••• L•••••• L•

CRD 107135

WICHITA, KS

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Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Mar 27, 2019
12 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: $354M••• Locked
Discretionary RAUM: $354M
Private client RAUM: $8.4Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••	Other Private Fund	$167M	Mar 27, 2019	46	Mar 27, 2012	reported	021-255506
N•• V••••••	Liquidity Fund	$71.8M	Mar 27, 2019

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• M• L•••••• R•••••••• T••••• E••••• M• L•••••• T••••••	MEMBER MANAGER	D	yes	12/1995	Mar 27, 2012	Mar 27, 2019
L••••••• E•••••	President	D	yes	12/1995	Mar 27, 2012	Mar 27, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• G•••• L•	n/a	n/a	n/a	Y	yes	n/a
T••• M• C••••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2018	$354M	$390M	-9.1%	$330M	2.4%	2	2	0	0

Relationships

Advises (6)

→ S••••• A•••••••••Private fundLiquidity Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ G••••Private fundOther Private Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ F••••• F•••Private fundOther Private Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ N•• V••••••Private fund

Dated events

Order

Occurred
27 Mar 2019
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Mar 27, 2019 91 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.