DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

P••••• S••••• E••••• C•••••• M••••••••• L••

CRD 310321

MISSION WOODS, KS

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Search this name across graphsid dfx:ria:9c501ef5-8b84-4944-10e5-d78075f48b69

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 24
On other graphs: 1
Observed: Aug 17, 2020 to Mar 31, 2026
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

P••••• S••••• E••••• C•••••• M••••••••• L••

Private credit manager · shared crd

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: $9.2B••• Locked
Discretionary RAUM: $9.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 76

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••• S••••• E••••••• L••• F•••••• 2••••• D••••••••• A••••••• C••••••	Securitized Asset Fund	$500M	Mar 28, 2024	4	Mar 31, 2023	dropped	n/a
P••••• S••••• C•• 2•••••• L•••	Securitized Asset Fund	$473M

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	Aug 17, 2020	Mar 28, 2024
B•••• S••••• A•••••	CHIEF OPERATING OFFICER	Na	yes	03/2018	Aug 17, 2020	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••••• B•• A•••••• L••	n/a	Asset manager	$1.2B	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	$9.2B	$7.8B	18.9%	$5.3B	20.1%	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••••• B•• A•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P••••• S••••• P•••••• C••••• M••••••••• L••Registered adviser

Dated events

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

Occurred
Mar 31, 2026
Ria p•••••• fund assets change
••• Locked
Form ADVobserved today
$-6.1B
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c501ef5-8b84-4944-10e5-d78075f48b69
First observed: Aug 17, 2020
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.