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
Clayton Wealth Partners
Legal name Clayton Financial Services Inc
Latest filing Sep 9, 2026
First filing on the tape Mar 26, 2012 · 39 filings
SEC status approved since Jul 1, 1982
RAUM
$910M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$772M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$910M as of Mar 5, 2026
Mar 26, 2012$264M then
HNW client RAUM$470M as of Mar 5, 2026
Mar 23, 2018$256M then
State-registered IARs (5.B.3)7 as of Mar 5, 2026
Mar 26, 20120 then
Employees (5.A)14 as of Mar 5, 2026
Mar 26, 201311 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Sep 9, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $484,977derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 754reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$470M52%
- Individuals$302M34%
- Charitable organizations$126M14%
- Corporations and businesses$458,5610.1%
- Individual clients
- 606reported
- HNW clients
- 110reported
- Pension plan clients
- n/areported
- Charitable clients
- 19reported
- Accounts
- 1,876reported
- Financial planning clients
- 754reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.14 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Barbara Jean DuncanCertified Financial Planner | Topeka, Ks | Oct 14, 2009 | 10 y | 0 |
| Elizabeth Ann YoungCertified Financial Planner | Topeka, Ks | Oct 14, 2009 | 21 y | 0 |
| Eric Scott PurcellCertified Financial Planner | Topeka, Ks | Jun 5, 2017 | 10 y | 0 |
| Zachary Wayne PohlenzCertified Financial Planner | Topeka, Ks | Feb 27, 2020 | 10 y | 1 |
| Colton Kelly WalkerCertified Financial Planner | Topeka, Ks | May 27, 2021 | 13 y | 1 |
| James Michael WaldenChartered Financial Analyst | Topeka, Ks | Feb 11, 2022 | 18 y | 1 |
| Sean Andrew Bounous | Topeka, Ks | Apr 1, 2025 | 11 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
- Kathleen Ann Heit to Sanctuary Advisors, LLCNov 20, 2017 · Other
- Amy Renae White to Cambridge Investment Research, Inc.Aug 8, 2003 · Other
Joined, latest
- James Michael Walden from Bb&T Asset Management, Inc.Feb 11, 2022 · Other
- Colton Kelly Walker from Ameriprise Financial Services, LLCMay 27, 2021 · Affiliated broker-dealer or bank to independent RIA
- Zachary Wayne Pohlenz from Ameriprise Financial Services, LLCFeb 27, 2020 · Affiliated broker-dealer or bank to independent RIA
- Kathleen Ann Heit from Oppenheimer & Co. Inc.Aug 11, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Debra Clayton · Founding Partner/Directorcontrolsince 03/1989 · owns 10% to 25%
- Joe Randy Clayton · Founding Partner/Directorcontrolsince 08/1984 · owns 10% to 25%
- Jean Barbara Duncan · Partner/Senior Wealth Advisor/Directorcontrolsince 02/2018 · owns 10% to 25%
- E Clinton Patty · Chief Compliance Officer/Managing Partner/Directorcontrolsince 06/2016 · owns 10% to 25%
- Michael James Walden · Partner/Chief Investment Officer/Directorcontrolsince 01/2020 · owns 10% to 25%
- Ann Elizabeth Young · Partner/Senior Wealth Advisor/Directorcontrolsince 02/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Topeka, Ks · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lawrence, KS
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 5, 2026HNW share of RAUM moved from 67.0% to 52.0% between the annual amendments of 2025-03-03 and 2026-03-05peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Mar 5, 2026 to Sep 9, 2026
- Related adviser · false to unsetMar 5, 2026 to Sep 9, 2026
- Related bank · false to unsetMar 5, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetMar 5, 2026 to Sep 9, 2026
- Related insurance company · false to unsetMar 5, 2026 to Sep 9, 2026
- Succession · false to unsetMar 5, 2026 to Sep 9, 2026
- Accounts · 1,817 to 1,876Mar 3, 2025 to Mar 5, 2026
- Advisory employees · 7 to 8Mar 3, 2025 to Mar 5, 2026
- Employees · 12 to 14Mar 3, 2025 to Mar 5, 2026
- State-registered IARs · 6 to 7Mar 3, 2025 to Mar 5, 2026
- Discretionary RAUM · $811M to $910MMar 3, 2025 to Mar 5, 2026
- HNW RAUM · $544M to $470MMar 3, 2025 to Mar 5, 2026
- Individual RAUM · $165M to $302MMar 3, 2025 to Mar 5, 2026
- RAUM · $811M to $910MMar 3, 2025 to Mar 5, 2026
- Accounts · 1,757 to 1,817Feb 22, 2024 to Mar 3, 2025
- Charity clients · 15 to 19Feb 22, 2024 to Mar 3, 2025
- HNW clients · 104 to 110Feb 22, 2024 to Mar 3, 2025
- Individual clients · 590 to 606Feb 22, 2024 to Mar 3, 2025
- Financial planning clients · More than 500 to More than 500Feb 22, 2024 to Mar 3, 2025
- Discretionary RAUM · $696M to $811MFeb 22, 2024 to Mar 3, 2025
- HNW RAUM · $438M to $544MFeb 22, 2024 to Mar 3, 2025
- Individual RAUM · $180M to $165MFeb 22, 2024 to Mar 3, 2025
- RAUM · $696M to $811MFeb 22, 2024 to Mar 3, 2025
- Accounts · 1,747 to 1,757Apr 6, 2023 to Feb 22, 2024
- Charity clients · 14 to 15Apr 6, 2023 to Feb 22, 2024
- HNW clients · 168 to 104Apr 6, 2023 to Feb 22, 2024
- Individual clients · 438 to 590Apr 6, 2023 to Feb 22, 2024
- Discretionary RAUM · $627M to $696MApr 6, 2023 to Feb 22, 2024
- HNW RAUM · $378M to $438MApr 6, 2023 to Feb 22, 2024
- Individual RAUM · $174M to $180MApr 6, 2023 to Feb 22, 2024
- RAUM · $627M to $696MApr 6, 2023 to Feb 22, 2024
- Accounts · 1,645 to 1,747Feb 22, 2022 to Feb 14, 2023
- Advisory employees · 9 to 7Feb 22, 2022 to Feb 14, 2023
- Charity clients · 12 to 14Feb 22, 2022 to Feb 14, 2023
- HNW clients · 178 to 168Feb 22, 2022 to Feb 14, 2023
- Individual clients · 403 to 438Feb 22, 2022 to Feb 14, 2023
- Employees · 15 to 12Feb 22, 2022 to Feb 14, 2023
- State-registered IARs · 8 to 6Feb 22, 2022 to Feb 14, 2023
- Discretionary RAUM · $707M to $627MFeb 22, 2022 to Feb 14, 2023
- HNW RAUM · $457M to $378MFeb 22, 2022 to Feb 14, 2023
Signals
1 dated events
- E Clinton Patty (Chief Compliance Officer) appeared on Schedule A of Clayton Wealth PartnersMar 22, 2019 · Control person joined · 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
- messages@claytonwealthpartners.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CLAYTONWEALTHPARTNERS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 785-232-3266reportedpublic record, Form ADV, Sep 9, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026