DFX Intelligence

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

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

C•••••• S••••• C•••••• M••••••• L••

CRD 155291

PRAIRIE VILLAGE, KS

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Search this name across graphsid dfx:ria:d49349aa-d8c7-334c-5b7c-02e967567ae7

Data as of Nov 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 3
On other graphs: 0
Observed: Feb 26, 2014 to Nov 30, 2016
14 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: $19.8M••• Locked
Discretionary RAUM: $19.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $4.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• C••••• B•••••••••	n/a	PRAIRIE VILLAGE, KS	10	19	1	yes
B••••••• R••••• Y••••	n/a	WEST DES MOINES, IA \| PRAIRIE VILLAGE, KS	8	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• T•••• O•••	Cfo	Na	yes	09/2010	Feb 26, 2014	Nov 30, 2016
P••••••• D••• R•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Apr 7, 2016	Nov 30, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• S••••• C•••••• M••••••• L••	n/a	Former SEC adviser	$19.8M	Y	yes	n/a
C•••••• S••••• C•••••• M••••••• L••	n/a	Former SEC adviser	$19.8M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 11, 2016	$79.9M	$79.9M	2	2	n/a	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
0	1	-1	25.0%	0	1	0	3	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$19.8M	n/a	n/a	n/a	n/a	4	n/a	n/a	n/a

Relationships

Registered with (9)

← J••••• B•••• L•••••Advisorregistration: current employment
Sep 16, 2025 to presentfactForm ADV
← J••••• T••••• D••••••Advisorregistration: current employment
Mar 13, 2024 to presentfactForm ADV
← B••••••• R••••• Y••••Advisorregistration: current employment
Nov 21, 2017 to presentfactForm ADV
← J•••• C••••• B•••••••••

Dated events

Occurred
Aug 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 9, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 26, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d49349aa-d8c7-334c-5b7c-02e967567ae7
First observed: Feb 26, 2014
Last observed: Nov 30, 2016 119 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.