DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

P•••••• C•••••• M••••••••• G••••• L••

CRD 311623

KANSAS CITY, MO

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Search this name across graphsid dfx:ria:ed7a9b7b-9297-12af-a145-2592d041fd8d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 96
Dated events: 13
On other graphs: 3
Observed: Nov 12, 2020 to Mar 31, 2026
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

P•••••• C•••••• M••••••••• G••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

P•••••• C•••••• M••••••••• G••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

P•••••• C•••••• M••••••••• G••••• L••

Private credit manager · shared crd

Private Equity

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.41 fund_share=0.24 institutional_share=0.04 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $7.1B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $2.9Bderived••• Locked
Private client share: 41%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 22
RAUM per advisor: $324Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• R•••••• S••••••••	n/a	Hinsdale, IL \| Kansas City, MO	5	43	3	no
S•••• D•••••• H••••	n/a	Kansas City, MO	5	27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••• H•••• L••••••••• E••••• L•••	Hedge Fund	$142M	Mar 31, 2026	123	Mar 30, 2012	reported	021-72819
F•••• H•••• F••••••• I• L•••	Private Equity Fund	$130M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• O••••••••• L••	Member	E	yes	11/2020	Mar 31, 2026	Mar 31, 2026
G•••••• M••••••• M••••••	VICE PRESIDENT	Na	yes	04/2021	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••• C•••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a
F•••• H•••• A••••••• S••••••••• G•• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
FORTH WORTH	TX	United States	4	no
Dallas	TX	United States	1	no
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
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	5	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	$7.1B	$6.7B	6.7%	$5.9B	6.6%	47	48	5	5

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••• • B••••• A•••••••• L••	3	Nov 12, 2024	Nov 15, 2024	DALLAS, TX	Firm absorbed	RIA to RIA	100.0%
P•••••• C•••••• M••••••••• L••	11	Apr 12, 2021	Jun 29, 2021

Relationships

showing 80 of 96

Registered with (23)

← M••••••• S••••••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← C••• M•••••• R•••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← J•••• E••••• B•••••Advisorregistration: current employment
Nov 15, 2024 to presentfactForm ADV
← R••••• A••• K•••••

Dated events

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

Occurred
Nov 12, 2024
Firm absorbed
B••••••• • B••••• A•••••••• L••'s advisors moved to P•••••• C•••••• M••••••••• G••••• L•• (Dallas, TX): 3 of 3 registered, within 2 days
Form ADVobserved 7 days ago
3 advisors
Occurred
Mar 28, 2024
Control person left
Lee Timothy Hattey (Vice President) no longer on Schedule A of P•••••• C•••••• M••••••••• G••••• L•• (listed 2024-03-01, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2022
Control person joined
L••• Angela Tower (Chief Operating Officer) appeared on Schedule A of P•••••• C•••••• M••••••••• G••••• L••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed7a9b7b-9297-12af-a145-2592d041fd8d
First observed: Nov 12, 2020
Last observed: Mar 31, 2026 5 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.