DFX Intelligence

P•••••• W••••• C••••••••• 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 adviserIndependent wealth managerSEC registeredRAUM 100m 1b

P•••••• W••••• C••••••••• L••

CRD 336590

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 graphs

Data as of May 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Jul 10, 2025 to May 11, 2026
5 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: independent wealth managerderivedprivate_client_share=0.79 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $259M••• Locked
Discretionary RAUM: $259M
Private client RAUM: $204Mderived••• Locked
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $64.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•• L•••• M•••••••••	n/a	Beverly Hills, MI \| KANSAS CITY, MO	0	30	1	no
H••••••• M•••••• H••••	n/a	KANSAS CITY, MO	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• D•••••• W••••	MANAGING MEMBER	C	yes	04/2025	May 11, 2026	May 11, 2026
M••••••••• A••• L••••	Member	C	yes	04/2025	May 11, 2026	May 11, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$259M	$259M	4	4	6	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	0	4	0.0%	0	0	0	4	0

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	$259M	n/a	n/a	n/a	n/a	4	n/a	6	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••• W••••• M••••••••• L••	2	Jul 23, 2026	Mar 23, 2026	KANSAS CITY, MO	Team lift out	RIA to RIA	5.1%
S••••••• W••••• M••••••••• L••	2	Jul 23, 2026

Relationships

Controls (3)

← H••••• D•••••• W••••OwnerMANAGING MEMBER, ownership code C, individual
May 11, 2026 to presentfactForm ADV
← M••••••••• A••• L••••OwnerMEMBER, ownership code C, individual
May 11, 2026 to presentfactForm ADV
← N•••••• C••••••••• C•OwnerMEMBER, ownership code C, individual
May 11, 2026 to presentfactForm ADV

Registered with (4)

← D••••• W•••• H••••Advisorregistration: current employment

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
23 Jul 2026
Team lift-out2 events
P•••••• W••••• C••••••••• L••: team lift-out, 2 events, on 23 Jul 2026
2 advisors
- ••• Locked2 advisors
- ••• Locked2 advisors
Occurred
10 Jul 2025
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Dec 20, 2025
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 10, 2025
Last observed: May 11, 2026 4 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.