DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Atwood & Palmer, Inc.
Latest filing Aug 25, 2026
First filing on the tape Apr 2, 2012 · 28 filings
SEC status approved since May 29, 1990
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.9B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$291M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.0B as of Aug 25, 2026
Apr 2, 2012$486M then
HNW client RAUM$1.9B as of Aug 25, 2026
Mar 19, 2018$723M then
State-registered IARs (5.B.3)7 as of Aug 25, 2026
Mar 20, 20135 then
Employees (5.A)9 as of Aug 25, 2026
Mar 20, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $291MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.3B, 270 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B94%
- Charitable organizations$58.0M2.8%
- Individuals$35.7M1.8%
- Corporations and businesses$30.5M1.5%
- Individual clients
- 153reported
- HNW clients
- 358reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 1,362reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 270 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Nelson Palmer | Kansas City, Mo | Nov 1, 1995 | 36 y | 0 |
| Steven Patrick Franke | Kansas City, Mo | Jul 3, 2000 | 30 y | 0 |
| Spencer Alan JonesChartered Financial Analyst | Kansas City, Mo | Dec 20, 2006 | 30 y | 1 |
| Peter James SowdenChartered Financial Analyst | Kansas City, Mo | Dec 20, 2006 | 22 y | 2 |
| James M Montgomery | Kansas City, Mo | Nov 21, 2017 | 10 y | 1 |
| Evan Raleigh LangChartered Financial Analyst | Kansas City, Mo | May 2, 2024 | 12 y | 0 |
| Matthew Thomas Eilert | Kansas City, Mo | Oct 23, 2025 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Matthew Thomas Eilert from Creative PlanningOct 23, 2025 · RIA to RIA
- James M Montgomery from Charles Schwab & Co., Inc.Nov 21, 2017 · Other
- Peter James Sowden from Legacy Investment Partners, LLCDec 20, 2006 · Other
- Spencer Alan Jones from UBS Financial Services Inc.Dec 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L. Teresa Burch · Chief Compliance Officercontrolsince 04/2004 · owns less than 5%
- Patrick Steven Franke · Partnercontrolsince 01/2023 · owns 25% to 50%
- Alan Spencer Jones · Partnercontrolsince 01/2023 · owns 25% to 50%
- Nelson William Palmer · Partnercontrolsince 01/2023 · owns 10% to 25%
- James Peter Sowden · Partnercontrolsince 01/2023 · owns 25% to 50%
- Nelson Steven Palmer · Partnersince 03/1990 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kansas City, Mo · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 25, 2026PALMER, WILLIAM, NELSON (PARTNER) left Schedule A between the filings of 2023-02-10 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,257 to 1,362Oct 15, 2025 to Feb 20, 2026
- Charity clients · 13 to 8Oct 15, 2025 to Feb 20, 2026
- HNW clients · 346 to 358Oct 15, 2025 to Feb 20, 2026
- Assets in custody · $1.2B to $1.3BOct 15, 2025 to Feb 20, 2026
- Discretionary RAUM · $1.7B to $2.0BOct 15, 2025 to Feb 20, 2026
- HNW RAUM · $1.6B to $1.9BOct 15, 2025 to Feb 20, 2026
- Individual RAUM · $36.4M to $35.7MOct 15, 2025 to Feb 20, 2026
- RAUM · $1.7B to $2.0BOct 15, 2025 to Feb 20, 2026
- Accounts · 1,176 to 1,257Oct 11, 2024 to Mar 11, 2025
- Advisory employees · 5 to 6Oct 11, 2024 to Mar 11, 2025
- Charity clients · 8 to 13Oct 11, 2024 to Mar 11, 2025
- Corporate clients · 7 to 6Oct 11, 2024 to Mar 11, 2025
- HNW clients · 340 to 346Oct 11, 2024 to Mar 11, 2025
- Individual clients · 135 to 153Oct 11, 2024 to Mar 11, 2025
- Assets in custody · $799M to $1.2BOct 11, 2024 to Mar 11, 2025
- Employees · 8 to 9Oct 11, 2024 to Mar 11, 2025
- Financial planning clients · 51-100 to 51-100Oct 11, 2024 to Mar 11, 2025
- State-registered IARs · 6 to 7Oct 11, 2024 to Mar 11, 2025
- Discretionary RAUM · $1.4B to $1.7BOct 11, 2024 to Mar 11, 2025
- HNW RAUM · $1.4B to $1.6BOct 11, 2024 to Mar 11, 2025
- Individual RAUM · $32.0M to $36.4MOct 11, 2024 to Mar 11, 2025
- RAUM · $1.4B to $1.7BOct 11, 2024 to Mar 11, 2025
- Accounts · 458 to 1,176Apr 14, 2023 to Mar 19, 2024
- Charity clients · 7 to 8Apr 14, 2023 to Mar 19, 2024
- Corporate clients · 5 to 7Apr 14, 2023 to Mar 19, 2024
- HNW clients · 322 to 340Apr 14, 2023 to Mar 19, 2024
- Individual clients · 124 to 135Apr 14, 2023 to Mar 19, 2024
- Pension plan clients · 0.0 to unsetApr 14, 2023 to Mar 19, 2024
- Pooled vehicle clients · 0.0 to unsetApr 14, 2023 to Mar 19, 2024
- Assets in custody · unset to 798985345.0Apr 14, 2023 to Mar 19, 2024
- Custody of client assets · false to trueApr 14, 2023 to Mar 19, 2024
- State-registered IARs · 5 to 6Apr 14, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.2B to $1.4BApr 14, 2023 to Mar 19, 2024
- HNW RAUM · $1.2B to $1.4BApr 14, 2023 to Mar 19, 2024
- Individual RAUM · $29.7M to $32.0MApr 14, 2023 to Mar 19, 2024
- RAUM · $1.2B to $1.4BApr 14, 2023 to Mar 19, 2024
- Advisory activities · 2 to 3Mar 13, 2023 to Apr 14, 2023
- Financial planning clients · unset to 51-100Mar 13, 2023 to Apr 14, 2023
- Accounts · 435 to 458Mar 24, 2022 to Feb 10, 2023
- Corporate clients · 4 to 5Mar 24, 2022 to Feb 10, 2023
Signals
5 dated events
- James Peter Sowden (Partner) appeared on Schedule A of Atwood & Palmer, Inc.Feb 10, 2023 · Control person joined · fact
- Patrick Steven Franke (Partner) appeared on Schedule A of Atwood & Palmer, Inc.Feb 10, 2023 · Control person joined · fact
- Alan Spencer Jones (Partner) appeared on Schedule A of Atwood & Palmer, Inc.Feb 10, 2023 · Control person joined · fact
- Nelson William Palmer (Partner) appeared on Schedule A of Atwood & Palmer, Inc.Feb 10, 2023 · Control person joined · fact
- Atwood & Palmer, Inc. reported RAUM $1.1B, up 32% from $841.1M (2020-05-18 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 816-931-2266reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/atwood-&-palmer-inc-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- atwoodpalmer.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 816-931-2266reportedpublic record, Form ADV, Aug 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $291Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026