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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SEC-registered adviser
S•• F•••••••• S•••••••• I•••
Latest filing Aug 14, 2026
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Feb 10, 2000
RAUM
$392M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
89%
$349M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$98.1M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$392M as of Aug 14, 2026
Mar 29, 2012$98.8M then
HNW client RAUM$163M as of Aug 14, 2026
Mar 19, 2018$55.6M then
State-registered IARs (5.B.3)3 as of Aug 14, 2026
Mar 19, 20134 then
Employees (5.A)7 as of Aug 14, 2026
Mar 19, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $98.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 290derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $208,212derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $302M, 733 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$186M47%
- High-net-worth individuals$163M42%
- Pension and profit-sharing plans$31.2M8.0%
- Corporations and businesses$11.7M3.0%
- Individual clients
- 1,076reported
- HNW clients
- 84reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,884reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $302M for 733 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• C••••• S•••••• | Overland Park, Ks | Jun 17, 1993 | 42 y | 0 |
| C•••• S••••• R••••••• | Overland Park, Ks | Jan 28, 2009 | 28 y | 2 |
| G•••••• C••••• S•••••• | Overland Park, Ks | Nov 22, 2016 | 25 y | 1 |
| G•••• R•••••• H••• | Overland Park, Ks | Apr 14, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- R••••• P••• S•••••••• to S•••••••• F••••••••• L••Mar 21, 2025 · RIA to a state-registered adviser
- N••••• S•••••••• to S•••••••• F••••••••• L••Mar 21, 2025 · RIA to a state-registered adviser
- N••••• R•• H••• to C•••• A••••••• S•••••••••Aug 5, 2003 · Other
Joined, latest
- G•••••• C••••• S•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 22, 2016 · Other
- C•••• S••••• R••••••• from H••••• M••••••• I•••Jan 28, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••••••• F••••••••• L••Mar 21, 2025 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• F••••• C••••• · Presidentcontrolsince 01/2004 · owns 75% or more
- S••••••• G••••••• C••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 4 | 0 | 0 | ||
| Scott City, Ks | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scott City, KS2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 14, 2026private clients per advisor of 290.0 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 6.6 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 17.0% to 42.0% between the annual amendments of 2025-03-17 and 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,448 to 1,884Mar 17, 2025 to Mar 23, 2026
- Advisory employees · 4 to 3Mar 17, 2025 to Mar 23, 2026
- Corporate clients · 11 to 9Mar 17, 2025 to Mar 23, 2026
- HNW clients · 43 to 84Mar 17, 2025 to Mar 23, 2026
- Individual clients · 1,380 to 1,076Mar 17, 2025 to Mar 23, 2026
- Assets in custody · $283M to $302MMar 17, 2025 to Mar 23, 2026
- Employees · 8 to 7Mar 17, 2025 to Mar 23, 2026
- State-registered IARs · 4 to 3Mar 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $296M to $361MMar 17, 2025 to Mar 23, 2026
- HNW RAUM · $54.2M to $163MMar 17, 2025 to Mar 23, 2026
- Individual RAUM · $235M to $186MMar 17, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $25.6M to $31.2MMar 17, 2025 to Mar 23, 2026
- Pension RAUM · $25.6M to $31.2MMar 17, 2025 to Mar 23, 2026
- RAUM · $322M to $392MMar 17, 2025 to Mar 23, 2026
- Accounts · 1,582 to 1,448Feb 28, 2024 to Mar 17, 2025
- Advisory employees · 6 to 4Feb 28, 2024 to Mar 17, 2025
- Corporate clients · 13 to 11Feb 28, 2024 to Mar 17, 2025
- HNW clients · 63 to 43Feb 28, 2024 to Mar 17, 2025
- Individual clients · 958 to 1,380Feb 28, 2024 to Mar 17, 2025
- Assets in custody · $261M to $283MFeb 28, 2024 to Mar 17, 2025
- Employees · 11 to 8Feb 28, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Feb 28, 2024 to Mar 17, 2025
- State-registered IARs · 6 to 4Feb 28, 2024 to Mar 17, 2025
- Discretionary RAUM · $289M to $296MFeb 28, 2024 to Mar 17, 2025
- HNW RAUM · $105M to $54.2MFeb 28, 2024 to Mar 17, 2025
- Individual RAUM · $176M to $235MFeb 28, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $21.6M to $25.6MFeb 28, 2024 to Mar 17, 2025
- Pension RAUM · $21.6M to $25.6MFeb 28, 2024 to Mar 17, 2025
- RAUM · $311M to $322MFeb 28, 2024 to Mar 17, 2025
- Accounts · 1,553 to 1,582Mar 13, 2023 to Feb 28, 2024
- Corporate clients · 16 to 13Mar 13, 2023 to Feb 28, 2024
- HNW clients · 45 to 63Mar 13, 2023 to Feb 28, 2024
- Individual clients · 828 to 958Mar 13, 2023 to Feb 28, 2024
- Pension plan clients · 12 to 14Mar 13, 2023 to Feb 28, 2024
- Assets in custody · $217M to $261MMar 13, 2023 to Feb 28, 2024
- Employees · 10 to 11Mar 13, 2023 to Feb 28, 2024
- Discretionary RAUM · $241M to $289MMar 13, 2023 to Feb 28, 2024
- HNW RAUM · $64.7M to $105MMar 13, 2023 to Feb 28, 2024
- Individual RAUM · $167M to $176MMar 13, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $17.4M to $21.6MMar 13, 2023 to Feb 28, 2024
Signals
5 dated events
- R••••• P••• S•••••••• left S•• F•••••••• S•••••••• I••• for S•••••••• F••••••••• L•• (registered 2024-08-02)Mar 21, 2025 · Advisor changed firm · fact
- N••••• S•••••••• left S•• F•••••••• S•••••••• I••• for S•••••••• F••••••••• L•• (registered 2024-08-02)Mar 21, 2025 · Advisor changed firm · fact
- 2 advisors left S•• F•••••••• S•••••••• I••• (Overland Park, KS) for S•••••••• F••••••••• L•• on the same dayMar 21, 2025 · Team lift-out · derived
- C••••• G•••••• S•••••• (Chief Compliance Officer) appeared on Schedule A of S•• F•••••••• S•••••••• I•••Mar 13, 2023 · Control person joined · fact
- Jo J••••••• R••• (Chief Compliance Officer) no longer on Schedule A of S•• F•••••••• S•••••••• I••• (listed 2019-08-26, absent 2019-10-29)Oct 29, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/79929718/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- richards-financial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-362-2712reportedpublic record, Form ADV, Aug 14, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026