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.

Former SEC-registered adviser

Financial Engines Advisor Center, LLC

Former SEC-registered adviserOverland Park, KansasCRD 109238SEC 801-57511IAPD
Latest filing Dec 5, 2016
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$8.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
190
105 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$8.1B as of Feb 1, 2016
Mar 30, 2012$747M then
HNW client RAUM: no history
State-registered IARs (5.B.3)105 as of Feb 1, 2016
Mar 30, 20120 then
Employees (5.A)190 as of Feb 1, 2016
Mar 26, 201315 then
Private funds: no history
RAUM +162% over the last fiscal year+95% a year over threeIARs 44 to 105
Practice profile
derived from the filing of Dec 5, 2016; every figure names its basis
RAUM per advisor
$77.5MderivedRAUM 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
$116,844derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
17.5derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+162%derivedbetween the last two annual amendments
Advisor growth, one year
+139%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
69,645reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
  • Richard Edward Bloomberg · Chief Operating Officercontrol
    since 09/2012 · owns less than 5%
  • Merril Clifford Brandt · Chief Compliance Officercontrol
    since 10/2006 · owns less than 5%
  • Bradley John Bunch · Presidentcontrol
    since 02/2016 · owns less than 5%
  • Raffaele Sadun · Chief Financial Officercontrol
    since 09/2014 · owns less than 5%
Entity owners
  • Tmfs Holdings, LLC · Sole Member
    direct · owns 75% or more
  • Financial Engines, Inc. · Member
    indirect · owns 75% or more of Mayberry Acquisition Sub I, LLC · public reporting company
  • Kansas City 727 Acquisition LLC · Member
    indirect · owns 75% or more of Tmfs Holdings, LLC
  • Mayberry Acquisition Sub I, LLC · Shareholder
    indirect · owns 75% or more of Mayberry Holdco I, Inc.
  • Mayberry Holdco I, Inc. · Shareholder
    indirect · owns 75% or more of Mayberry Holdco II, Inc.
  • Mayberry Holdco II, Inc. · Member
    indirect · owns 75% or more of Kansas City 727 Acquisition LLC
Related persons
Schedule D 7.A
Advisers that list Financial Engines Advisor Center, LLC as a related person
Post-acquisition retention
advisors of absorbed firms still registered here after the move
Firms absorbed
9 since 2015, 0 in 24 monthsderived
Advisors acquired
35derived
Still registered after 90 days
91% of 35derived
After 180 days
91% of 35derived
After 365 days
89% of 35derived
After 730 days
0.0% of 35derived
Team lift-outs after
8derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices
Schedule D 1.F, the 25 largest
  • Chesterfield, MO
  • Dublin, OH
  • Indianapolis, IN
  • Overland Park, KS
  • Pleasanton, CA
What changed
consecutive filings, newest first
  • Business name · THE MUTUAL FUND STORE to FINANCIAL ENGINES ADVISOR CENTER, LLC
    Sep 6, 2016 to Sep 6, 2016
  • Legal name · TMFS ADVISORS, LLC to FINANCIAL ENGINES ADVISOR CENTER, LLC
    Sep 6, 2016 to Sep 6, 2016
  • Accounts · 33,236 to 69,645
    Jan 22, 2016 to Feb 1, 2016
  • Advisory employees · 44 to 105
    Jan 22, 2016 to Feb 1, 2016
  • Employees · 74 to 190
    Jan 22, 2016 to Feb 1, 2016
  • State-registered IARs · 44 to 105
    Jan 22, 2016 to Feb 1, 2016
  • Discretionary RAUM · $4.3B to $8.1B
    Jan 22, 2016 to Feb 1, 2016
  • RAUM · $4.3B to $8.1B
    Jan 22, 2016 to Feb 1, 2016
  • Accounts · 26,233 to 33,236
    Mar 30, 2015 to Jul 31, 2015
  • Discretionary RAUM · $3.1B to $4.3B
    Mar 30, 2015 to Jul 31, 2015
  • RAUM · $3.1B to $4.3B
    Mar 30, 2015 to Jul 31, 2015
  • Accounts · 19,491 to 26,233
    Dec 15, 2014 to Mar 30, 2015
  • Advisory employees · 27 to 44
    Dec 15, 2014 to Mar 30, 2015
  • Employees · 46 to 74
    Dec 15, 2014 to Mar 30, 2015
  • State-registered IARs · 27 to 44
    Dec 15, 2014 to Mar 30, 2015
  • Discretionary RAUM · $2.4B to $3.1B
    Dec 15, 2014 to Mar 30, 2015
  • RAUM · $2.4B to $3.1B
    Dec 15, 2014 to Mar 30, 2015
  • Legal name · THE MUTUAL FUND STORE-KANSAS CITY, LLC to TMFS ADVISORS, LLC
    Mar 12, 2014 to Apr 22, 2014
  • Accounts · 19,250 to 19,491
    Oct 7, 2013 to Mar 12, 2014
  • Discretionary RAUM · $2.2B to $2.4B
    Oct 7, 2013 to Mar 12, 2014
  • RAUM · $2.2B to $2.4B
    Oct 7, 2013 to Mar 12, 2014
  • Accounts · 10,463 to 19,250
    Jul 1, 2013 to Aug 1, 2013
  • Advisory employees · 8 to 27
    Jul 1, 2013 to Aug 1, 2013
  • Employees · 15 to 46
    Jul 1, 2013 to Aug 1, 2013
  • State-registered IARs · 8 to 27
    Jul 1, 2013 to Aug 1, 2013
  • Discretionary RAUM · $1.1B to $2.2B
    Jul 1, 2013 to Aug 1, 2013
  • RAUM · $1.1B to $2.2B
    Jul 1, 2013 to Aug 1, 2013
  • Accounts · 8,617 to 10,463
    Jan 2, 2013 to Mar 26, 2013
  • Advisory employees · 10 to 8
    Jan 2, 2013 to Mar 26, 2013
  • Employees · 21 to 15
    Jan 2, 2013 to Mar 26, 2013
  • State-registered IARs · 10 to 8
    Jan 2, 2013 to Mar 26, 2013
  • Discretionary RAUM · $747M to $1.1B
    Jan 2, 2013 to Mar 26, 2013
  • RAUM · $747M to $1.1B
    Jan 2, 2013 to Mar 26, 2013
  • Advisory employees · unset to 10.0
    Oct 15, 2012 to Jan 2, 2013
  • Employees · unset to 21.0
    Oct 15, 2012 to Jan 2, 2013
  • State-registered IARs · 0 to 10
    Oct 15, 2012 to Jan 2, 2013
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