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CRD 144344
KANSAS CITY, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| FIVE ELMS EQUITY FUND I LP | Private Equity Fund | $45.9M | Dec 11, 2014 | 99 | Mar 30, 2012 | dropped | 021-111381 |
| FRONTIER PERMO FUND, LLC | Hedge Fund | $45.3M | Mar 30, 2018 | 172 | Mar 30, 2016 | dropped | 021-256389 |
| JONES CREDIT FACILITY FUND II, LLC | Securitized Asset Fund | $30.0M | Dec 5, 2022 | 0 | Dec 5, 2022 | reported | n/a |
| JONES CREDIT FACILITY FUND, LLC | Securitized Asset Fund | $12.0M | Mar 25, 2024 | 79 | Mar 31, 2021 | reported | 021-393928 |
| FRONTIER FIVE ELMS III LP | Private Equity Fund | $11.3M | Mar 25, 2024 | 73 | Dec 19, 2016 | reported | 021-280551 |
| FRONTIER FIVE ELMS II LP | Private Equity Fund | $10.5M | Mar 25, 2024 | 99 | Mar 30, 2012 | reported | 021-167669 |
| TABLEROCK CANYON LLC | Real Estate Fund | $8.7M | Dec 28, 2015 | 119 | Mar 30, 2012 | dropped | 021-147000 |
| SC CAPITAL 1 LLC | Private Equity Fund | $4.7M | Jun 25, 2020 | 18 | Mar 27, 2020 | dropped | n/a |
| CHINA GOLD LLC | Other Private Fund | $3.9M | Aug 26, 2014 | 35 | Mar 30, 2012 | dropped | 021-102750 |
| FIVE ELMS COINVEST LP | Private Equity Fund | $2.7M | Dec 11, 2014 | 11 | Mar 30, 2012 | dropped | n/a |
| KANSAS IN BLOOM LLC | Private Equity Fund | $2.6M | Apr 30, 2019 | 94 | Mar 30, 2012 | dropped | 021-130183 |
| TIARA HOLDINGS I LP | Real Estate Fund | $1.6M | Aug 26, 2014 | 20 | Mar 30, 2012 | dropped | n/a |
| ROCKLINE II LLC | Other Private Fund | $206,792 | Aug 26, 2014 | 9 | Mar 30, 2012 | dropped | 021-130909 |
| THE ATLAS FUND L.P. | Other Private Fund | $158,185 | Aug 26, 2014 | 34 | Mar 30, 2012 | dropped | 021-83673 |
| ROCKLINE III LLC | Other Private Fund | $0 | Jul 5, 2016 | 47 | Mar 30, 2012 | dropped | 021-145495 |
| FWE EQUITY LLC | Private Equity Fund | $0 | Mar 25, 2024 | 23 | Mar 27, 2020 | reported | 021-307364 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANSON, AARON, JOSEPH | DIRECTOR OF OPERATIONS | Na | yes | 01/2017 | Mar 29, 2019 | Aug 19, 2022 |
| BLASI, NICHOLAS, MICHAEL | CEO / ELECTED MEMBER | A | yes | 11/2009 | Mar 30, 2012 | Aug 19, 2022 |
| FRONTIER WEALTH ENTERPRISES, LLC | OWNER / MEMBER | C | yes | 04/2011 | Mar 30, 2012 | Aug 19, 2022 |
| FWE CLASS D HOLDCO LLC | EQUITY INVESTOR | C | yes | 03/2018 | Mar 30, 2018 | Aug 19, 2022 |
| FWE EQUITY, LLC | EQUITY INVESTOR | C | yes | 03/2018 | Mar 30, 2018 | Aug 19, 2022 |
| KERR, TROY, DAVID | CHIEF COMPLIANCE OFFICER / MEMBER | A | yes | 09/2007 | Mar 30, 2012 | Aug 19, 2022 |
| SIFERS, BRANDON | CHIEF FINANCIAL OFFICER / ELECTED MEMBER | Na | yes | 01/2013 | May 13, 2014 | Aug 19, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CAPFINANCIAL PARTNERS, LLC | n/a | Institutional manager | $1237B | N | yes | n/a |
| CAPFINANCIAL SECURITIES, LLC. | n/a | Former SEC adviser | $116B | N | yes | n/a |
| FRONTIER FIVE ELMS EQUITY FUND II GP, LLC | n/a | n/a | n/a | N | no | n/a |
| FRONTIER INSURANCE STRATEGIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Wichita | Ks | United States | 5 | no |
| Omaha | Ne | United States | 4 | no |
| ST. LOUIS | Mo | United States | 3 | no |
| Glendale | Co | United States | 2 | no |
| LONE TREE | Co | United States | 2 | no |
| Albany | Ga | United States | 1 | no |
| Hutchinson | Ks | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 29, 2022 | $4.1B | $3.0B | 50 | 25 | 7 | 4 | $60.9M |
| 2020 | Mar 31, 2021 | $3.7B | $2.7B | 51 | 29 | 6 | 4 | $35.3M |
| 2019 | Mar 27, 2020 | $2.4B | $2.0B | 53 | 28 | 7 | 4 | $40.3M |
| 2018 | Mar 29, 2019 | $2.2B | $1.7B | 45 | 26 | 6 | 3 | $39.7M |
| 2017 | Mar 30, 2018 | $2.1B | $1.7B | 44 | 24 | 7 | 4 | $87.1M |
| 2016 | Mar 31, 2017 | $1.7B | $1.6B | 40 | 24 | n/a | 4 | $70.5M |
| 2015 | Mar 30, 2016 | $1.5B | $1.3B | 45 | 24 | n/a | 4 | $27.2M |
| 2014 | Mar 30, 2015 | $1.2B | $1.1B | 40 | 20 | n/a | 4 | $32.2M |
| 2013 | Mar 31, 2014 | $465M | $431M | 25 | 14 | n/a | 10 | $101M |
| 2012 | Mar 28, 2013 | $405M | $380M | 22 | 11 | n/a | 10 | $91.8M |
| 2011 | Mar 30, 2012 | $354M | $342M | n/a | n/a | n/a | 10 | $85.8M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $4.1B | $3.7B | 12.0% | $2.2B | 22.6% | 50 | 51 | 7 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| Captrust | 20 | Oct 21, 2022 | Aug 30, 2022 | LEAWOOD, KS | Firm absorbed | Other | 83.3% |
| Captrust | 2 | Oct 21, 2022 | Aug 22, 2022 | OMAHA, NE | Team lift out | Other | 8.3% |
| WEALTHSOURCE? | 2 | Jan 15, 2021 | Jan 15, 2021 | LEAWOOD, KS | Team lift out | RIA to RIA | 7.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| KARSTENS INVESTMENT COUNSEL, INC. | 2 | Mar 30, 2020 | May 14, 2020 | OMAHA, NE | Team lift out | RIA to RIA | 100.0% |
| HIGHWATER WEALTH MANAGEMENT LLC | 2 | Feb 3, 2020 | Feb 5, 2020 | GLENDALE, CO | Team lift out | RIA to RIA | 100.0% |
| UBS FINANCIAL SERVICES INC. | 4 | Apr 22, 2015 | Apr 21, 2015 | WICHITA, KS | Team lift out | Other | 0.1% |
| COMPREHENSIVE PERSONAL FINANCIAL ADVISORS | 5 | Mar 25, 2015 | Apr 21, 2015 | LONE TREE, CO | Firm absorbed | Other | 83.3% |