DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

T••••••• I••••••••• L••

CRD 315752

OVERLAND PARK, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a470b2c7-69e0-1b24-f17d-7e107c53ba80

Data as of Mar 24, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Oct 13, 2021 to Mar 24, 2023
3 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: $8.7M••• Locked
Discretionary RAUM: $8.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• J••••• S•••••	Investor	E	yes	06/2022	Mar 24, 2023	Mar 24, 2023
C••••••••• S••••• J••••	Partner	B	yes	05/2021	Oct 13, 2021	Mar 24, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• C•••••• I••••••••• A•••••••• L••	n/a	Mixed wealth	$39B	N	yes	n/a
F•••••••• I••••••••• T•••••• L••	n/a	Former SEC adviser	$2.0M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 24, 2023	$8.7M	$8.7M	5	1	0	n/a	n/a
2021	Mar 11, 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	$8.7M	n/a	n/a	n/a	n/a	5	2	0	0

Relationships

Affiliated with (3)

→ P•••• C•••••• F••••••••Registered adviserother investment adviser, common control
factForm ADV
→ F•••••••• I••••••••• T•••••• L••Registered adviserother investment adviser, common control
factForm ADV
← F•••••••• I••••••••• T•••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← H••••• T••• D••••Owner

Dated events

Occurred
Mar 24, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 24, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 24, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 13, 2021
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a470b2c7-69e0-1b24-f17d-7e107c53ba80
First observed: Oct 13, 2021
Last observed: Mar 24, 2023 42 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.