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

F••••••• C•••••• M••••••••• L••

Former SEC-registered adviserLeawood, KansasCRD 109424SEC 801-54437IAPD
Latest filing Mar 10, 2015
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$674M
reported, Item 5.F
Discretionary
94%
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$14.0M gross assets
History
7 filings and snapshots on the tape
RAUM$674M as of Mar 10, 2015
Mar 30, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 10, 2015
Mar 21, 20135 then
Employees (5.A)6 as of Mar 10, 2015
Mar 21, 201310 then
Private funds2 as of Mar 10, 2015
Mar 21, 20132 then
RAUM -65% over the last fiscal year-17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 2015; every figure names its basis
RAUM per advisor
$135MderivedRAUM 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
$56.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
-65%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$14.0M, 2 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)
  • 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
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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$14.0M for 2 clientsreported
Compensation
% of AUM, fixed, performancereported
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 departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••••••• S•••• D••••••• H••• Y•••• T••••Other Private Fund$9.6M16Mar 21, 2013
      F••••••• H••• Y•••• T•••• R••••• T••••Other Private Fund$4.4M4Mar 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• D••••••• E••••• · Managing Principal / Ccocontrol
        since 05/1997 · owns less than 5%
      • C•••••••• D••••••• E••••• · Member/Managercontrol
        since 04/1997 · owns 25% to 50% of F•• M••••••••• L•••••
      • C••••• P•••• I••••••• · Member/Managercontrol
        since 08/2007 · owns F of F•• M••••••••• L•••••
      • C•••••• E•••• E•••••••• · Member/Managercontrol
        since 08/2007 · owns F of F•• M••••••••• L•••••
      • M•••••• G••••••• D••••• · Member/Managercontrol
        since 08/2007 · owns F of F•• M••••••••• L•••••
      • P••••••• A•••• T••••••• · Member/Managercontrol
        since 06/2009 · owns F of F•• M••••••••• L•••••
      Entity owners
      • F•• M••••••••• L••••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list F••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 12
        Mar 26, 2014 to Mar 10, 2015
      • Advisory employees · 11 to 5
        Mar 26, 2014 to Mar 10, 2015
      • Advisory activities · 4 to 3
        Mar 26, 2014 to Mar 10, 2015
      • Assets in custody · $16.3M to $14.0M
        Mar 26, 2014 to Mar 10, 2015
      • Employees · 12 to 6
        Mar 26, 2014 to Mar 10, 2015
      • Discretionary RAUM · $1.9B to $636M
        Mar 26, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $78.3M to $37.1M
        Mar 26, 2014 to Mar 10, 2015
      • RAUM · $1.9B to $674M
        Mar 26, 2014 to Mar 10, 2015
      • Related adviser · true to false
        Mar 26, 2014 to Mar 10, 2015
      • Related bank · true to false
        Mar 26, 2014 to Mar 10, 2015
      • Related broker-dealer · true to false
        Mar 26, 2014 to Mar 10, 2015
      • Related insurance company · true to false
        Mar 26, 2014 to Mar 10, 2015
      • Accounts · 14 to 20
        Mar 21, 2013 to Mar 26, 2014
      • Advisory employees · 9 to 11
        Mar 21, 2013 to Mar 26, 2014
      • Assets in custody · $36.5M to $16.3M
        Mar 21, 2013 to Mar 26, 2014
      • Employees · 10 to 12
        Mar 21, 2013 to Mar 26, 2014
      • Discretionary RAUM · $1.2B to $1.9B
        Mar 21, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $65.6M to $78.3M
        Mar 21, 2013 to Mar 26, 2014
      • RAUM · $1.3B to $1.9B
        Mar 21, 2013 to Mar 26, 2014
      • Accounts · 13 to 14
        Jun 6, 2012 to Mar 21, 2013
      • Advisory employees · unset to 9.0
        Jun 6, 2012 to Mar 21, 2013
      • Assets in custody · unset to 36492011.0
        Jun 6, 2012 to Mar 21, 2013
      • Custody of client assets · false to true
        Jun 6, 2012 to Mar 21, 2013
      • Employees · unset to 10.0
        Jun 6, 2012 to Mar 21, 2013
      • State-registered IARs · unset to 5.0
        Jun 6, 2012 to Mar 21, 2013
      • Private funds · unset to 2
        Jun 6, 2012 to Mar 21, 2013
      • Discretionary RAUM · $1.1B to $1.2B
        Jun 6, 2012 to Mar 21, 2013
      • Non-discretionary RAUM · $0 to $65.6M
        Jun 6, 2012 to Mar 21, 2013
      • RAUM · $1.1B to $1.3B
        Jun 6, 2012 to Mar 21, 2013
      • Related adviser · false to true
        Jun 6, 2012 to Mar 21, 2013
      • Related bank · false to true
        Jun 6, 2012 to Mar 21, 2013
      • Related broker-dealer · false to true
        Jun 6, 2012 to Mar 21, 2013
      • Related insurance company · false to true
        Jun 6, 2012 to Mar 21, 2013
      • Accounts · 15 to 13
        Apr 17, 2012 to Jun 6, 2012
      • Insurance-licensed employees · 2 to 0
        Apr 17, 2012 to Jun 6, 2012
      • Discretionary RAUM · $1.2B to $1.1B
        Apr 17, 2012 to Jun 6, 2012
      • RAUM · $1.2B to $1.1B
        Apr 17, 2012 to Jun 6, 2012
      • Related adviser · true to false
        Apr 17, 2012 to Jun 6, 2012
      • Related bank · true to false
        Apr 17, 2012 to Jun 6, 2012
      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