DFX Intelligence

R•••••••• F•••••••• S••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R•••••••• F•••••••• S••••••• I••

CRD 107083

LAWRENCE, KS

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Search this name across graphsid dfx:ria:a679c885-66ff-1c07-0aa4-36c35b5d494d

Data as of Mar 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 25, 2021
17 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: $359M••• Locked
Discretionary RAUM: $16.3M
Private client RAUM: $359Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••••• C••••• A••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	06/1992	Mar 28, 2012	Mar 25, 2021
S••••••••• N•••••• A•••••	SECRETARY/TREASURER	Na	no	01/1996	Mar 28, 2012	Mar 25, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$359M	$313M	14.8%	$266M	10.5%	3	2	0	0

Relationships

Controls (1)

← R••••••••• C••••• A••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← S••••••••• N•••••• A•••••OwnerSECRETARY/TREASURER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (2)

← C•••• ANN R••••••••Advisorregistration: previous registration
Aug 6, 1992 to Jul 30, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a679c885-66ff-1c07-0aa4-36c35b5d494d
First observed: Mar 28, 2012
Last observed: Mar 25, 2021 66 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.