DFX Intelligence

C•••••• A•••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C•••••• A•••• M••••••••• I•••

CRD 115699

AMES, IA

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 Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 15
On other graphs: 0
Observed: Mar 12, 2012 to Sep 18, 2026
46 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $257M••• Locked
Discretionary RAUM: $257M
Private client RAUM: $257Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $129Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• J•••• L•••••	n/a	AMES, IA	25	25	1	no
K••• P••••• B•••	Certified Financial Planner	AMES, IA	11	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• K•••• P•••••	Secretary	Na	yes	04/2020	Apr 29, 2020	Oct 30, 2024
B•••• K•••• P•••••	Trustee	F	yes	04/2016	Apr 29, 2020	Oct 30, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	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	$257M	$222M	15.7%	$191M	10.5%	5	5	3	5

Relationships

Registered with (3)

← N•••• M•••••• C•••••Advisorregistration: current employment
Jul 26, 2017 to presentfactForm ADV
← K••• P••••• B•••Advisorregistration: current employment
Mar 26, 2015 to presentfactForm ADV
← S••••• J•••• L•••••Advisorregistration: current employment
Apr 4, 2001 to presentfactForm ADV

Affiliated with (1)

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
18 Sep 2026
Ria ownership band change2 events
C•••••• A•••• M••••••••• I•••: ria ownership band change, 2 events, on 18 Sep 2026
- ••• Locked
- ••• Locked
Occurred
18 Sep 2026
Ria principal change2 events
C•••••• A•••• M••••••••• I•••: ria principal change, 2 events, on 18 Sep 2026
- ••• Locked
- ••• Locked
Occurred
18 Sep 2026
Ria indirect owner change4 events
C•••••• A•••• M••••••••• I•••: ria indirect owner change, 4 events, on 18 Sep 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
18 Sep 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
29 Apr 2020
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 12, 2012
Last observed: Sep 18, 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.

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S•••••••	Trustee	F	no	06/2017	Jan 5, 2021	Oct 30, 2024
D••••• A•• B•••• E••••••• R•••••••• T••••	Owner	D	no	11/2013	Jan 5, 2021	Oct 30, 2024
E•••••••• B••••	Trustee	F	no	12/2004	Jan 5, 2021	Oct 30, 2024
K••• A•• S••••• B••• R•••••••• T••••	Owner	B	no	04/2020	Jan 5, 2021	Oct 30, 2024
N•••• A•• S••••••• C••••• R•••••••• T••••	Owner	B	no	04/2020	Jan 5, 2021	Oct 30, 2024
S•••••• S••••••	Trustee	F	no	06/2016	Jan 5, 2021	Oct 30, 2024
S•••••• A•• J•••• S••••• R•••••••• T••••	Owner	A	no	04/2020	Jan 5, 2021	Oct 30, 2024

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 10, 2016	$125M	$125M	5	4	n/a	n/a	n/a
2014	Mar 27, 2015	$124M	$124M	5	4	n/a	n/a	n/a
2013	Jan 22, 2014	$116M	$116M	5	3	n/a	n/a	n/a
2011	Mar 12, 2012	$86.5M	$86.5M	n/a	n/a	n/a	n/a	n/a