DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

V• W••••• A••••••• L••

CRD 153278

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:971b4862-4421-c451-ef90-b856fdccd0f5

Data as of Oct 9, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 87
Dated events: 12
On other graphs: 0
Observed: Mar 28, 2012 to Oct 9, 2023
134 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: $1.5B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 69

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• T•••••• E•••••	Member	C	yes	12/2010	Mar 28, 2012	Oct 9, 2023
C•••••• D•••••• D••••••	Member	C	yes	01/2017	Feb 24, 2017	Oct 9, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
OVERLAND PARK	Ks	United States	5	yes
Manhattan	Ks	United States	4	yes
OVERLAND PARK	Ks	United States	3	yes
Ottawa	Ks	United States	2	no
SUN CITY WEST	Az	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

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	$1.5B	$1.8B	-14.9%	$1.3B	4.0%	69	73	17	13

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• P•••••• W•••••	2	Dec 21, 2022	Nov 13, 2022	WICHITA, KS	Team lift out	RIA to new firm	4.7%
W• W••••• P••••••• L••	4	Jul 1, 2020	May 7, 2020

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••• • R•••	2	Nov 20, 2017	Nov 15, 2017	EDMOND, OK	Team lift out	Other	0.1%
W•••••• • R•••	2	Feb 15, 2017	Feb 16, 2017

Relationships

showing 80 of 87

Controls (3)

← B•••••• T•••••• E•••••OwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← C•••••• D•••••• D••••••OwnerMEMBER, ownership code C, individual
Feb 24, 2017 to presentfactForm ADV
← L••••• B••••• A•••OwnerMEMBER/CCO, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← C••••••• S••••• P••••••OwnerPARTNER, ownership code A, individual

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 9, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:971b4862-4421-c451-ef90-b856fdccd0f5
First observed: Mar 28, 2012
Last observed: Oct 9, 2023 36 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.