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.

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Former SEC-registered adviser

W••••• M••••••••• A••••••• I••

Former SEC-registered adviserLeawood, KansasCRD 106521SEC 801-44115IAPD
Latest filing Mar 5, 2020
First filing on the tape Mar 23, 2012 · 16 filings
RAUM
$504M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$504M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$504M as of Mar 5, 2020
Mar 23, 2012$438M then
HNW client RAUM$409M as of Mar 5, 2020
Mar 8, 2018$407M then
State-registered IARs (5.B.3)5 as of Mar 5, 2020
Mar 12, 20138 then
Employees (5.A)6 as of Mar 5, 2020
Mar 12, 201310 then
Private funds: no history
RAUM +8.2% over the last fiscal year+3.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 5, 2020; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$176M, 175 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$409M81%
  • Individuals$95.7M19%
Individual clients
168reported
HNW clients
171reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
339reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$176M for 175 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• K••••• S••••• · Presidentcontrol
        since 05/2004 · owns 75% or more
      • W••••••• P•••• L•••• · Partner / Chief Compliance Officercontrol
        since 04/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 338 to 339
        Dec 10, 2019 to Mar 5, 2020
      • HNW clients · 159 to 171
        Dec 10, 2019 to Mar 5, 2020
      • Individual clients · 179 to 168
        Dec 10, 2019 to Mar 5, 2020
      • Assets in custody · $387M to $176M
        Dec 10, 2019 to Mar 5, 2020
      • Discretionary RAUM · $466M to $504M
        Dec 10, 2019 to Mar 5, 2020
      • HNW RAUM · $368M to $409M
        Dec 10, 2019 to Mar 5, 2020
      • Individual RAUM · $97.8M to $95.7M
        Dec 10, 2019 to Mar 5, 2020
      • RAUM · $466M to $504M
        Dec 10, 2019 to Mar 5, 2020
      • Accounts · 342 to 338
        Nov 26, 2018 to Mar 26, 2019
      • Advisory employees · 4 to 5
        Nov 26, 2018 to Mar 26, 2019
      • HNW clients · 172 to 159
        Nov 26, 2018 to Mar 26, 2019
      • Individual clients · 170 to 179
        Nov 26, 2018 to Mar 26, 2019
      • Assets in custody · $345M to $387M
        Nov 26, 2018 to Mar 26, 2019
      • Employees · 8 to 6
        Nov 26, 2018 to Mar 26, 2019
      • State-registered IARs · 4 to 5
        Nov 26, 2018 to Mar 26, 2019
      • Discretionary RAUM · $501M to $466M
        Nov 26, 2018 to Mar 26, 2019
      • HNW RAUM · $407M to $368M
        Nov 26, 2018 to Mar 26, 2019
      • Individual RAUM · $94.8M to $97.8M
        Nov 26, 2018 to Mar 26, 2019
      • RAUM · $501M to $466M
        Nov 26, 2018 to Mar 26, 2019
      • Accounts · 346 to 342
        Jan 25, 2017 to Mar 8, 2018
      • HNW clients · unset to 172.0
        Jan 25, 2017 to Mar 8, 2018
      • Individual clients · unset to 170.0
        Jan 25, 2017 to Mar 8, 2018
      • Assets in custody · unset to 345333728.0
        Jan 25, 2017 to Mar 8, 2018
      • Custody of client assets · false to true
        Jan 25, 2017 to Mar 8, 2018
      • Employees · 6 to 8
        Jan 25, 2017 to Mar 8, 2018
      • Other offices · unset to 0.0
        Jan 25, 2017 to Mar 8, 2018
      • Discretionary RAUM · $459M to $501M
        Jan 25, 2017 to Mar 8, 2018
      • HNW RAUM · unset to 406659292.0
        Jan 25, 2017 to Mar 8, 2018
      • Individual RAUM · unset to 94794424.0
        Jan 25, 2017 to Mar 8, 2018
      • RAUM · $459M to $501M
        Jan 25, 2017 to Mar 8, 2018
      • Accounts · 347 to 346
        Sep 7, 2016 to Jan 25, 2017
      • Advisory employees · 5 to 4
        Sep 7, 2016 to Jan 25, 2017
      • BD registered reps · 2 to 0
        Sep 7, 2016 to Jan 25, 2017
      • State-registered IARs · 5 to 4
        Sep 7, 2016 to Jan 25, 2017
      • Discretionary RAUM · $450M to $459M
        Sep 7, 2016 to Jan 25, 2017
      • RAUM · $450M to $459M
        Sep 7, 2016 to Jan 25, 2017
      • Accounts · 437 to 347
        Jun 3, 2016 to Sep 7, 2016
      • Discretionary RAUM · $431M to $450M
        Jun 3, 2016 to Sep 7, 2016
      • Non-discretionary RAUM · $20.0M to $0
        Jun 3, 2016 to Sep 7, 2016
      • RAUM · $451M to $450M
        Jun 3, 2016 to Sep 7, 2016
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026