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
Searcy Financial Services, Inc.
Latest filing Sep 15, 2026
First filing on the tape Mar 14, 2012 · 53 filings
SEC status approved since Sep 24, 1981
RAUM
$514M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$417M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$64.2M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$514M as of May 6, 2026
Mar 14, 2012$119M then
HNW client RAUM$363M as of May 6, 2026
Mar 16, 2018$185M then
State-registered IARs (5.B.3)9 as of May 6, 2026
Feb 20, 20131 then
Employees (5.A)9 as of May 6, 2026
Feb 20, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 8 to 9offices 1 to 3
Practice profile
derived from the filing of Sep 15, 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
- RAUM per advisor
- $64.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $274,265derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $514M, 196 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M71%
- Other investment advisers$73.6M14%
- Individuals$53.4M10%
- Pension and profit-sharing plans$23.1M4.5%
- Charitable organizations$418,7120.1%
- Individual clients
- 81reported
- HNW clients
- 104reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,874reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $514M for 196 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.14 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Marcus Clinton ShafferCertified Financial Planner | Overland Park, Ks | Nov 6, 2007 | 20 y | 1 |
| Jessica Ann Kmetty | Overland Park, Ks | Jul 3, 2009 | 25 y | 0 |
| John Christopher FalesCertified Financial Planner | Overland Park, Ks | Apr 18, 2012 | 15 y | 0 |
| Brenda Marie Carrico | Overland Park, Ks | Jun 25, 2013 | 13 y | 0 |
| Ryan Wayne BrookeCertified Financial Planner, Chartered Financial Consultant | Overland Park, Ks | Feb 2, 2015 | 11 y | 0 |
| Tanner J ManningCertified Financial Planner | Overland Park, Ks | Sep 3, 2024 | 12 y | 0 |
| Daniel I Rubio | Overland Park, Ks | May 8, 2026 | 10 y | 0 |
| Matthew Ray | Rexburg, Id | May 8, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- Kimberly Jane Solomon to Allos Investment Advisors, LLCNov 1, 2024 · RIA to RIA
- Alex Phillip Graham to Allos Investment Advisors, LLCSep 1, 2022 · RIA to RIA
- David William Bush to Allos Investment Advisors, LLCOct 30, 2018 · Other
- Randy A Schaller to Smart401k, LLCDec 11, 2008 · Other
- Brett Ryan Jergens to Tortoise Capital Advisors, L.L.C.May 8, 2006 · Other
Joined, latest
- David William Bush from Waddell & ReedDec 1, 2015 · Other
- Marcus Clinton Shaffer from LPL Financial LLCNov 6, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher John Fales · Chief Compliance Officer And Vice Presidentcontrolsince 12/2021 · owns 10% to 25%
- Ann Jessica Kmetty · President And Chief Executive Officercontrolsince 12/2021 · owns less than 5%
- Clinton Marcus Shaffer · Principal/Secretary&Treasurer&Cfocontrolsince 12/2021 · owns 50% to 75%
- Ann Jessica Kmetty · Trusteecontrolsince 06/2020 · owns 75% or more of Jessica A Kmetty Living Trust Dtd
- Wayne Ryan Brooke · Principal&Ciosince 12/2021 · owns 5% to 10%
Entity owners
- Jessica A Kmetty Living Trust Dtd · Revocable Living Trustdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Allos Investment Advisors, LLCinvestment adviseryRAUM $73.6M
Advisers that list Searcy Financial Services, Inc. as a related person
- 155541 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 8 | 2 | 0 | ||
| Saratoga Springs, Ut | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 17, 2026accounts (Item 5.F.2.f) moved from 1,048.0 to 1,874.0 (+79.0%) between the annual amendments of 2025-03-04 and 2026-04-17; the peer median change was +6.0% (1256 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10May 6, 2026 to Sep 15, 2026
- Succession · false to unsetMay 6, 2026 to Sep 15, 2026
- Other offices · 1 to 3Apr 17, 2026 to May 6, 2026
- Accounts · 1,048 to 1,874May 27, 2025 to Mar 26, 2026
- Advisory employees · 8 to 9May 27, 2025 to Mar 26, 2026
- HNW clients · 102 to 104May 27, 2025 to Mar 26, 2026
- Individual clients · 79 to 81May 27, 2025 to Mar 26, 2026
- Pension plan clients · 7 to 8May 27, 2025 to Mar 26, 2026
- Assets in custody · $388M to $514MMay 27, 2025 to Mar 26, 2026
- Employees · 8 to 9May 27, 2025 to Mar 26, 2026
- Insurance-licensed employees · 8 to 9May 27, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 9May 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $442M to $514MMay 27, 2025 to Mar 26, 2026
- HNW RAUM · $326M to $363MMay 27, 2025 to Mar 26, 2026
- Individual RAUM · $43.0M to $53.4MMay 27, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $6.0M to $0May 27, 2025 to Mar 26, 2026
- Pension RAUM · $18.7M to $23.1MMay 27, 2025 to Mar 26, 2026
- RAUM · $448M to $514MMay 27, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to May 27, 2025
- Accounts · 981 to 1,048Jul 9, 2024 to Mar 4, 2025
- Advisory employees · 7 to 8Jul 9, 2024 to Mar 4, 2025
- Advisory activities · 4 to 3Jul 9, 2024 to Mar 4, 2025
- HNW clients · 115 to 102Jul 9, 2024 to Mar 4, 2025
- Individual clients · 50 to 79Jul 9, 2024 to Mar 4, 2025
- Assets in custody · $339M to $388MJul 9, 2024 to Mar 4, 2025
- Employees · 7 to 8Jul 9, 2024 to Mar 4, 2025
- Insurance-licensed employees · 7 to 8Jul 9, 2024 to Mar 4, 2025
- State-registered IARs · 7 to 8Jul 9, 2024 to Mar 4, 2025
- Other offices · 2 to 1Jul 9, 2024 to Mar 4, 2025
- Discretionary RAUM · $373M to $442MJul 9, 2024 to Mar 4, 2025
- HNW RAUM · $293M to $326MJul 9, 2024 to Mar 4, 2025
- Individual RAUM · $17.1M to $43.0MJul 9, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $5.1M to $6.0MJul 9, 2024 to Mar 4, 2025
- Pension RAUM · $15.8M to $18.7MJul 9, 2024 to Mar 4, 2025
- RAUM · $378M to $448MJul 9, 2024 to Mar 4, 2025
- Other offices · 3 to 2Feb 7, 2024 to Jul 9, 2024
- Accounts · 1,013 to 981Sep 26, 2023 to Feb 7, 2024
- Advisory employees · 6 to 7Sep 26, 2023 to Feb 7, 2024
- HNW clients · 112 to 115Sep 26, 2023 to Feb 7, 2024
- Individual clients · 56 to 50Sep 26, 2023 to Feb 7, 2024
Signals
3 dated events
- Kimberly Jane Solomon left Searcy Financial Services, Inc. for Allos Investment Advisors, Llc (registered 2023-12-06)Nov 1, 2024 · Advisor changed firm · fact
- Alex Phillip Graham left Searcy Financial Services, Inc. for Allos Investment Advisors, Llc (registered 2020-11-05)Sep 1, 2022 · Advisor changed firm · fact
- John Michael Searcy (President) no longer on Schedule A of Searcy Financial Services, Inc. (listed 2021-11-18, absent 2022-01-05)Jan 5, 2022 · Control person left · inference
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
- 913-814-3800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-808-6353reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SEARCY-FINANCIAL-SERVICES-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- SEARCYFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-814-3800reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- searcyfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- searcyfinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $64.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026