DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

M•••• L•••••• L•

Former SEC-registered adviserFormer SEC adviser5 private funds· Wichita, Kansas

Former SEC-registered adviser, based in Wichita, Kansas, reporting $354M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2019-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $354M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -9.1%
Private clients: 2.4% of RAUM, $8.4M

Advisors Advisor movement Where the RAUM sits

As of 2019-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 12 Form ADV filings for this adviser, the latest 7.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 107135 · SEC 801-43756 · 12 filingsShow

CRD 107135SEC 801-43756First filing on the tape Mar 27, 2012, latest Mar 27, 2019IAPD

RAUM

$354M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

2.4%

$8.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$345M gross assets

History

12 filings and snapshots on the tape

RAUM$354M as of Mar 27, 2019

Mar 27, 2012$289M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Mar 27, 2019

Mar 27, 20120 then

Employees (5.A)2 as of Mar 27, 2019

Mar 27, 20132 then

Private funds5 as of Mar 27, 2019

Mar 27, 20126 then

RAUM -9.1% over the last fiscal year+2.4% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 27, 2019; every figure names its basis

RAUM per advisor: $177MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $59.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -9.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $345M, 5 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

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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$345M98%
Individuals$8.4M2.4%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $345M for 5 clientsreported
Compensation: % of AUMreported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G••••	Other Private Fund	$167M	46	Mar 27, 2012
N•• V••••••	Liquidity Fund	$71.8M	81	Mar 27, 2012
F••••• F•••	Other Private Fund	$70.8M	34	Mar 27, 2012
O•••• A•••••••••	Other Private Fund	$18.6M	14	Mar 27, 2012
S••••• A•••••••••	Liquidity Fund	$17.4M	25	Mar 27, 2012
4•no longer reported	Other Private Fund	$2.3M	3	Mar 27, 2012

Owners and control persons

Schedule A and B, latest filing

L••••••• E••••• · Presidentcontrol
since 12/1995 · owns 50% to 75%
S••••••••• H••••••• H••••• · Exec Vice President / Chief Compliance Officercontrol
since 02/2000 · owns less than 5%
T•••• W•••••• · Secretarycontrol
since 02/2000 · owns less than 5%
K•••••••• B••••• D• · Vice President
since 12/2011 · owns less than 5%

Entity owners

E••••• M• L•••••• R•••••••• T••••• E••••• M• L•••••• T•••••• · Member Manager
direct · owns 50% to 75%
L•••• B•• T••••• E••••• M• L••••••• T•••••• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

H••••••• G•••• L•
insurancey
T••• M• C••••••
n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $380M to $345M
Mar 29, 2018 to Mar 27, 2019
Discretionary RAUM · $390M to $354M
Mar 29, 2018 to Mar 27, 2019
Individual RAUM · $9.1M to $8.4M
Mar 29, 2018 to Mar 27, 2019
Pooled vehicle RAUM · $380M to $345M
Mar 29, 2018 to Mar 27, 2019
RAUM · $390M to $354M
Mar 29, 2018 to Mar 27, 2019
Pooled vehicle clients · unset to 5.0
May 2, 2017 to Mar 29, 2018
Assets in custody · $333M to $380M
May 2, 2017 to Mar 29, 2018
Financial planning clients · unset to 0
May 2, 2017 to Mar 29, 2018
Other offices · unset to 0.0
May 2, 2017 to Mar 29, 2018
Discretionary RAUM · $341M to $390M
May 2, 2017 to Mar 29, 2018
Individual RAUM · unset to 9078301.0
May 2, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 380437483.0
May 2, 2017 to Mar 29, 2018
RAUM · $341M to $390M
May 2, 2017 to Mar 29, 2018
Assets in custody · $333406B to $333M
Mar 31, 2017 to May 2, 2017
Assets in custody · $322M to $333406B
Mar 28, 2016 to Mar 31, 2017
Discretionary RAUM · $330M to $341M
Mar 28, 2016 to Mar 31, 2017
RAUM · $330M to $341M
Mar 28, 2016 to Mar 31, 2017
Assets in custody · $343M to $322M
Sep 8, 2015 to Mar 28, 2016
Discretionary RAUM · $351M to $330M
Sep 8, 2015 to Mar 28, 2016
RAUM · $351M to $330M
Sep 8, 2015 to Mar 28, 2016
Assets in custody · $336M to $343M
Sep 23, 2014 to Mar 27, 2015
Discretionary RAUM · $344M to $351M
Sep 23, 2014 to Mar 27, 2015
RAUM · $344M to $351M
Sep 23, 2014 to Mar 27, 2015
Assets in custody · $299M to $336M
Nov 12, 2013 to Mar 31, 2014
Discretionary RAUM · $304M to $344M
Nov 12, 2013 to Mar 31, 2014
RAUM · $304M to $344M
Nov 12, 2013 to Mar 31, 2014
Accounts · 10 to 6
Mar 27, 2012 to Mar 27, 2013
Advisory employees · unset to 2.0
Mar 27, 2012 to Mar 27, 2013
Assets in custody · $281M to $299M
Mar 27, 2012 to Mar 27, 2013
Employees · unset to 2.0
Mar 27, 2012 to Mar 27, 2013
State-registered IARs · 0 to 2
Mar 27, 2012 to Mar 27, 2013
Private funds · 6 to 5
Mar 27, 2012 to Mar 27, 2013
Discretionary RAUM · $289M to $304M
Mar 27, 2012 to Mar 27, 2013
RAUM · $289M to $304M
Mar 27, 2012 to Mar 27, 2013

Signals

1 dated events

••• Locked
Mar 27, 2019 · 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.

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