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
M•••••• W••••• A•••••••
Legal name M•••••• W••••• A••••••••• L••
Latest filing Sep 29, 2017
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$416M
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
13
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$416M as of Mar 30, 2017
2•••-03-29$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)9 as of Mar 30, 2017
Mar 28, 201310 then
Private funds: no history
RAUM -1.3% over the last fiscal year-3.0% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Sep 29, 2017; every figure names its basis
- RAUM per advisor
- $52.0MderivedRAUM 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
- $419,090derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 993reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- D••••• A•••• T••••• to M••••••Mar 31, 2018 · Other
- J•••• P••• S•••••••• to M••••••Mar 31, 2018 · Other
- E••••• J••••• M•••••• to M••••••Mar 31, 2018 · Other
- P••••• J••• K•••• to A•••• C•••••• G••••• L••Jan 11, 2018 · Other
- D•••• C• S••• to P••••••••• T••••• I••••••••• A•••••••• L••Mar 21, 2016 · Other
- S••••• A• N••••••••• to F••••• G••••• I•••Nov 25, 2013 · Other
- D••••• G••••• P••••••••• to M•••••• I••••••••• C•••••• L••2•••-07-09 · Other
- A•••••• D••••• to N••••••••• I••••••••• A•••••••• L••Oct 1, 2010 · Other
- J•••• A••••••• to N••••••••• I••••••••• A•••••••• L••Sep 22, 2010 · Other
- D•••• C•••••• M•••• to S••••••••• A•••••• A•••••••• I•••Jun 17, 2010 · Other
- D•••••• D••• G•••••• to C••••• I••••••••• S••••••• L••Jun 4, 2008 · Other
- P•••• C•••••• R••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 22, 2007 · Other
- K•• J•••• K•••••• to K••••• W••••• A•••••••• L••Jun 21, 2007 · Other
Joined, latest
- J•••• P••• S•••••••• from A•••••• P••••••• P•••••••• I•••Oct 16, 2017 · Other
- E••••• J••••• M•••••• from A•••••• P••••••• P•••••••• I•••Oct 16, 2017 · Other
- D•••• C• S••• from W•••••• • R•••Sep 8, 2014 · Other
- P•••• C•••••• R••••• from A••••••• A••••••• S•••••••Apr 12, 2007 · Other
- K•• J•••• K•••••• from C•••••••• G••••• M•••••• I•••Feb 18, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C•••••• R•••• · Chief Compliance Officercontrolsince 07/2••• · owns less than 5%
- C••••••••• M•••• A••••• · Chief Investment Officercontrolsince 09/2014 · owns less than 5%
- S••••••••• J••••• P••• · Managing Partnercontrolsince 10/2017 · owns 5% to 10%
- T•••••• D•••••• A•••• · Managing Partnercontrolsince 01/2007 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Elected Managercontrolsince 07/2007 · owns F of B••••••• F••••• H•••••• C••• L••
- T•••••• D•••••• A•••• · Co-Trusteecontrolsince 12/2••• · owns 75% or more of T••••• R•••••••• T•••• U•••• D•••• D••••••• 2•• 2•••
- T•••••• N•••• · Co-Trusteecontrolsince 12/2••• · owns 75% or more of T••••• R•••••••• T•••• U•••• D•••• D••••••• 2•• 2•••
- S••••••• K••••• L•••• · Vice President Of Operationssince 07/2••• · owns less than 5%
Entity owners
- M•••••• W••••• A•••••••• L•• · Managing Memberdirect · owns 75% or more
- T••••• R•••••••• T•••• U•••• D•••• D••••••• 2•• 2••• · Memberdirect · owns 10% to 25%
- B••••••• F••••• H•••••• C••• L•• · Managerindirect · owns 75% or more of M•••••• H•••••••• L••
- M•••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of M•••••• W••••• A•••••••• L••
Related persons
Schedule D 7.A
- 4•• I••••••••• G••••• L••investment advisernRAUM $157M
- A•••••• E•••••• L••investment adviserbankpooled vehicle sponsornRAUM $177M
- A••• R••• E••••• A•••••••• L••investment companyn
- A••••• I••••••••• P•••••••• L••investment advisernRAUM $1.1B
- C••••••••• I••••••••• P•••••••• L••investment advisernRAUM $524M
- E••••••••• R••• S••••••••• L••real estaten
- F•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $148M
- M•••••• C••••••••• L••insurancen
- M•••••• I••••••••• C••••••••• L••investment adviserLP sponsorn
- M•••••• I•••••••• R••••••••• L••real estaten
- M•••••• R••••••••• A•••••••• L••investment adviserLP sponsornRAUM $1.7B
- M•••••• T•••• C••••••• L••n
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.8B
- M•••••• W••••• A•••••••investment advisernRAUM $285M
- M•••••• Wealthinvestment advisern
- M•••••• W••••• A•••••••investment adviserinsurancenRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $1.1B
- M•••••• W••••• A•••••••investment adviserinsurancenRAUM $724M
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.4B
- Kummer Financial S•••••••••, LLCinvestment advisernRAUM $279M
- M•••••• W••••• A•••••••investment adviserLP sponsorn
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $615M
- M••••••investment adviserpooled vehicle sponsorLP sponsornRAUM $125B
- M•••••• S••••••••• L••broker-dealern
- N••••• I••••••••• L••investment advisernRAUM $984M
- P••••• S••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $26B
- P••••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $1.7B
- M•••••• W••••• A•••••••investment adviserLP sponsornRAUM $2.8B
- T••••••• C•••••• A•••••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $8.9B
- T••••••• C••••• S••••••••• L••investment adviserbanknRAUM $3.1B
Advisers that list M•••••• W••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Omaha, NE
- Omaha, NE
What changed
consecutive filings, newest first
- Advisory employees · 7 to 8Mar 30, 2017 to Sep 29, 2017
- BD registered reps · 5 to 6Mar 30, 2017 to Sep 29, 2017
- Employees · 9 to 13Mar 30, 2017 to Sep 29, 2017
- Insurance-licensed employees · 3 to 5Mar 30, 2017 to Sep 29, 2017
- State-registered IARs · 7 to 8Mar 30, 2017 to Sep 29, 2017
- Accounts · 1,109 to 993Nov 23, 2016 to Mar 30, 2017
- Advisory employees · 9 to 7Nov 23, 2016 to Mar 30, 2017
- Advisory activities · 4 to 5Nov 23, 2016 to Mar 30, 2017
- BD registered reps · 6 to 5Nov 23, 2016 to Mar 30, 2017
- Employees · 11 to 9Nov 23, 2016 to Mar 30, 2017
- Insurance-licensed employees · 1 to 3Nov 23, 2016 to Mar 30, 2017
- HQ city · L•••••• to OVERLAND PARKNov 23, 2016 to Mar 30, 2017
- State-registered IARs · 9 to 7Nov 23, 2016 to Mar 30, 2017
- Discretionary RAUM · $422M to $416MNov 23, 2016 to Mar 30, 2017
- RAUM · $422M to $416MNov 23, 2016 to Mar 30, 2017
- Accounts · 1,166 to 1,109Sep 18, 2015 to Mar 25, 2016
- Advisory employees · 6 to 9Sep 18, 2015 to Mar 25, 2016
- BD registered reps · 5 to 6Sep 18, 2015 to Mar 25, 2016
- Employees · 10 to 11Sep 18, 2015 to Mar 25, 2016
- State-registered IARs · 8 to 9Sep 18, 2015 to Mar 25, 2016
- Discretionary RAUM · $455M to $422MSep 18, 2015 to Mar 25, 2016
- RAUM · $455M to $422MSep 18, 2015 to Mar 25, 2016
- Business name · M•••••• W••••• A•••••••• L•• to M•••••• W••••• A•••••••Mar 30, 2015 to Sep 18, 2015
- Accounts · 844 to 1,166Mar 26, 2014 to Mar 30, 2015
- Advisory employees · 4 to 6Mar 26, 2014 to Mar 30, 2015
- Advisory activities · 5 to 4Mar 26, 2014 to Mar 30, 2015
- BD registered reps · 8 to 5Mar 26, 2014 to Mar 30, 2015
- Insurance-licensed employees · 0 to 1Mar 26, 2014 to Mar 30, 2015
- State-registered IARs · 0 to 8Mar 26, 2014 to Mar 30, 2015
- Discretionary RAUM · $455M to $455MMar 26, 2014 to Mar 30, 2015
- RAUM · $455M to $455MMar 26, 2014 to Mar 30, 2015
- Accounts · 1,142 to 844Jun 20, 2013 to Mar 26, 2014
- Financial planning clients · More than 500 to 251-500Jun 20, 2013 to Mar 26, 2014
- HQ city · OMAHA to L••••••Jun 20, 2013 to Mar 26, 2014
- HQ state · NE to KSJun 20, 2013 to Mar 26, 2014
- Discretionary RAUM · $444M to $455MJun 20, 2013 to Mar 26, 2014
- RAUM · $444M to $455MJun 20, 2013 to Mar 26, 2014
- Accounts · 1,224 to 1,1422•••-07-20 to Mar 28, 2013
- Advisory employees · unset to 4.02•••-07-20 to Mar 28, 2013
- BD registered reps · unset to 8.02•••-07-20 to Mar 28, 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