DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••••••••• C•••••• P•••••••• L••

CRD 161678

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:9e72fd46-a1e5-1ff2-b794-90308132d019

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 3
On other graphs: 3
Observed: Jun 30, 2016 to Sep 17, 2026
15 observations

Across DFX

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

Venture Capitalidentity

S••••••••• C•••••• P•••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

S••••••••• C•••••• P•••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

S••••••••• C•••••• P•••••••• L••

Private equity 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=false bd_reps=0.0
Regulatory AUM: $139M••• Locked
Discretionary RAUM: $139M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••••• P•••••••• L•	Private Equity Fund	$380M	Dec 19, 2024	10	Mar 31, 2022	reported	021-399634
M••••••••• L•••	Private Equity Fund	$168M	Dec 19, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• J••••• C•••••••	MEMBER (REGISTRANT AND RELYING ADVISERS)	C	yes	06/2005	Jun 30, 2016	Dec 19, 2024
D•••••••• M•••• C••••••	MEMBER (REGISTRANT AND RELYING ADVISERS)	C	yes	06/2005	Jun 30, 2016	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••••• I••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••••• C•••••• P••••••• G• I•• L•	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
OVERLAND PARK	Ks	United States	2	no
Charlotte	Nc	United States	1	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	$139M	$652M	-78.7%	$630M	-39.6%	5	5	1	2

Relationships

Advises (21)

→ S••••••••• S••••• C••••••••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S••••••••• C•••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S••••••••• I•••••• E••••• I•• L•Private fundPrivate Equity Fund, IA
Mar 28, 2023 to presentfactForm ADV
→ S••••••••• S•••••• C••••••••• L•••

Dated events

Occurred
Mar 20, 2026
Regulatory AUM changed
S••••••••• C•••••• P•••••••• L•• reported RAUM $137.2M, down 79% from $652.2M (2025-03-31 to 2026-03-20)
Form ADVobserved 7 days ago
$-515M
Occurred
Mar 31, 2022
Regulatory AUM changed
S••••••••• C•••••• P•••••••• L•• reported RAUM $554.9M, up 87% from $297.0M (2021-03-30 to 2022-03-31)
Form ADVobserved 7 days ago
$258M
Occurred
Jun 30, 2016
First Form ADV filing
S••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e72fd46-a1e5-1ff2-b794-90308132d019
First observed: Jun 30, 2016
Last observed: Sep 17, 2026 5 days 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.