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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

C••••••••• A•••••••• L••

CRD 140276

OVERLAND PARK, KS

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Data as of Mar 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Mar 4, 2015
6 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: 3
Advisory employees: 2
SEC number: 801-66633
CRD: 140276
Filings on the tape: 6
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• J•••• R••••	Member	C	yes	10/2006	Mar 19, 2012	Mar 4, 2015
D••••• J•••• R••••	CEO, CHIEF COMPLIANCE OFFICER	Na	yes	03/2006	Mar 19, 2012	Mar 4, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• C••••••••• G••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 4, 2015	n/a	n/a	3	2	n/a	n/a	n/a
2013	Feb 10, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	n/a	n/a	n/a	n/a	n/a	3	3	n/a	n/a

Relationships

Controls (4)

← D••••• J•••• R••••OwnerMEMBER, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV
← G•••••• W••••••• R•••OwnerMEMBER, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV
← T•••••••• J••••• M••••OwnerMEMBER, ownership code C, individual
Mar 19, 2012 to presentfactForm ADV
← T•• C••••••••• G••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 19, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 19, 2012
Last observed: Mar 4, 2015 140 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.