DFX Intelligence
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SEC-registered adviser
N•••••••• M•••• C•••••• M••••••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Mar 12, 2012 · 19 filings
SEC status approved since May 4, 2018
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$293M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$338M as of Aug 18, 2026
Mar 12, 2012$76.7M then
HNW client RAUM$234M as of Aug 18, 2026
Feb 12, 2019$76.3M then
State-registered IARs (5.B.3)2 as of Aug 18, 2026
Mar 12, 20120 then
Employees (5.A)6 as of Aug 18, 2026
Feb 12, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $499,415derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $260M, 204 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$234M69%
- Individuals$59.2M18%
- Charitable organizations$29.4M8.7%
- State and municipal entities$9.2M2.7%
- Corporations and businesses$6.0M1.8%
- Individual clients
- 174reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 677reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $260M for 204 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• D••••• N••••••••Certified Financial Planner | Kansas City, Mo | Oct 26, 1995 | 38 y | 1 |
| S•••••• R• M•••• | Kansas City, Mo | Jan 20, 2010 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S••••••• R• · Senior Vice President / Portfolio Managercontrolsince 01/2010 · owns 10% to 25%
- N••••••••• J•••••••• D••••• · President & Chief Compliance Officercontrolsince 01/1988 · owns 75% or more
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 636 to 677Jan 27, 2025 to Feb 21, 2026
- Charity clients · 5 to 7Jan 27, 2025 to Feb 21, 2026
- HNW clients · 75 to 87Jan 27, 2025 to Feb 21, 2026
- Individual clients · 169 to 174Jan 27, 2025 to Feb 21, 2026
- Assets in custody · $212M to $260MJan 27, 2025 to Feb 21, 2026
- Discretionary RAUM · $293M to $338MJan 27, 2025 to Feb 21, 2026
- HNW RAUM · $203M to $234MJan 27, 2025 to Feb 21, 2026
- Individual RAUM · $55.5M to $59.2MJan 27, 2025 to Feb 21, 2026
- RAUM · $293M to $338MJan 27, 2025 to Feb 21, 2026
- Accounts · 583 to 636Nov 19, 2024 to Jan 27, 2025
- HNW clients · 58 to 75Nov 19, 2024 to Jan 27, 2025
- Individual clients · 168 to 169Nov 19, 2024 to Jan 27, 2025
- Assets in custody · unset to 211758964.0Nov 19, 2024 to Jan 27, 2025
- Custody of client assets · false to trueNov 19, 2024 to Jan 27, 2025
- Employees · 5 to 6Nov 19, 2024 to Jan 27, 2025
- Financial planning clients · 1-10 to 1-10Nov 19, 2024 to Jan 27, 2025
- Discretionary RAUM · $248M to $293MNov 19, 2024 to Jan 27, 2025
- HNW RAUM · $162M to $203MNov 19, 2024 to Jan 27, 2025
- Individual RAUM · $54.3M to $55.5MNov 19, 2024 to Jan 27, 2025
- RAUM · $248M to $293MNov 19, 2024 to Jan 27, 2025
- Accounts · 577 to 583Jan 25, 2023 to Jan 31, 2024
- HNW clients · 54 to 58Jan 25, 2023 to Jan 31, 2024
- Individual clients · 176 to 168Jan 25, 2023 to Jan 31, 2024
- Discretionary RAUM · $218M to $248MJan 25, 2023 to Jan 31, 2024
- HNW RAUM · $143M to $162MJan 25, 2023 to Jan 31, 2024
- Individual RAUM · $48.5M to $54.3MJan 25, 2023 to Jan 31, 2024
- RAUM · $218M to $248MJan 25, 2023 to Jan 31, 2024
- Accounts · 523 to 577Jun 2, 2022 to Jan 25, 2023
- HNW clients · 50 to 54Jun 2, 2022 to Jan 25, 2023
- Individual clients · 161 to 176Jun 2, 2022 to Jan 25, 2023
- Discretionary RAUM · $219M to $218MJun 2, 2022 to Jan 25, 2023
- HNW RAUM · $141M to $143MJun 2, 2022 to Jan 25, 2023
- Individual RAUM · $46.1M to $48.5MJun 2, 2022 to Jan 25, 2023
- RAUM · $219M to $218MJun 2, 2022 to Jan 25, 2023
- Business name · N•••••••• C•••••• M••••••••• I••• to N•••••••• M•••• C•••••• M••••••••• I•••Mar 10, 2022 to Jun 2, 2022
- Legal name · N•••••••• C•••••• M••••••••• I••• to N•••••••• M•••• C•••••• M••••••••• I•••Mar 10, 2022 to Jun 2, 2022
- Accounts · 479 to 523Jan 9, 2021 to Mar 10, 2022
- Charity clients · 6 to 5Jan 9, 2021 to Mar 10, 2022
- HNW clients · 43 to 50Jan 9, 2021 to Mar 10, 2022
- Individual clients · 153 to 161Jan 9, 2021 to Mar 10, 2022
Signals
1 dated events
- N•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 6, 2018 · First SEC registration · fact
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 email
- a•••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 816-531-0418reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 816-931-5757reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N••••••••CAP.COMreportedpublic record, Form ADV, Aug 18, 2026
- Principal office phone
- 816-931-5757reportedpublic record, Form ADV, Aug 18, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026