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••••••• C•••••• M••••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Dec 20, 1993
RAUM
$328M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$323M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$328M as of Jul 7, 2026
Mar 30, 2012$339M then
HNW client RAUM$302M as of Jul 7, 2026
Mar 30, 2018$197M then
State-registered IARs (5.B.3)4 as of Jul 7, 2026
Apr 1, 20137 then
Employees (5.A)5 as of Jul 7, 2026
Apr 1, 20138 then
Private funds1 as of Mar 31, 2017
Mar 30, 20121 then
RAUM +18% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $489,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminars, otherreportedItem 5.G
- Custody
- $4.4M, 12 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$302M92%
- Individuals$20.6M6.3%
- Charitable organizations$3.1M0.9%
- Corporations and businesses$1.9M0.6%
- Individual clients
- 120reported
- HNW clients
- 129reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 670reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4M for 12 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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•••• M••••• S••••••• | Kansas City, Mo | Dec 7, 2009 | 37 y | 1 |
| R•••• P•••• S••••••• | Kansas City, Mo | Jun 29, 2015 | 42 y | 0 |
| B•••••• M••••• G••••• | Kansas City, Mo | Dec 7, 2016 | 12 y | 0 |
| A••••• L•••• D••••Certified Financial Planner | Kansas City, Mo | Apr 15, 2019 | 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 headcount1 left over 36 months
Left, latest
- A••• J••• B••••••• to N•••••• A•••••••May 10, 2024 · RIA to affiliated broker-dealer or bank
- R•••• P••• E•••• to C•••••••••Sep 25, 2018 · RIA to a state-registered adviser
- Z•••••• R••• E••••• to C•••••••••Sep 25, 2018 · RIA to a state-registered adviser
- B•••• G••••• S••• to A••••••• A••••••• S•••••••Jan 15, 2016 · Other
- H•••• S•••••• L••• to D••••• A•••• M••••••••• L••Nov 28, 2014 · Other
- L••••• S••••••••• to W•••• F•••• A•••••••Nov 28, 2014 · Other
Joined, latest
- L••••• S••••••••• from C•••••• S••••• • C••• I•••Apr 14, 2014 · Other
- B•••• G••••• S••• from O•••• P•••••••• S••••••••• L••Nov 7, 2013 · Other
- Z•••••• R••• E••••• from T• A••••••••• I•••Aug 17, 2011 · Other
- F•••• M••••• S••••••• from W••••••• R•••••••• M••••••••• I••Dec 7, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••••••Sep 25, 2018 · Kansas City, Mo
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• V•••• • O••••••••• L•no longer reported | Hedge Fund | $9.4M | 27 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••••• M••••• · Chief Operating Officer; Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- S•••••••• F••••• M••••• · Managing Membercontrolsince 12/1999 · owns 50% to 75%
- S•••••••• R••••• P•••• · Presidentcontrolsince 01/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Kansas City, Mo · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Jan 30, 2026HNW share of RAUM moved from 63.0% to 92.0% between the annual amendments of 2025-03-31 and 2026-01-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 638 to 670Sep 25, 2025 to Jan 30, 2026
- HNW clients · 46 to 129Sep 25, 2025 to Jan 30, 2026
- Individual clients · 200 to 120Sep 25, 2025 to Jan 30, 2026
- Pension plan clients · unset to 0.0Sep 25, 2025 to Jan 30, 2026
- Assets in custody · $1.3M to $4.4MSep 25, 2025 to Jan 30, 2026
- Financial planning clients · 101-250 to 11-25Sep 25, 2025 to Jan 30, 2026
- Discretionary RAUM · $263M to $309MSep 25, 2025 to Jan 30, 2026
- HNW RAUM · $174M to $302MSep 25, 2025 to Jan 30, 2026
- Individual RAUM · $98.2M to $20.6MSep 25, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $14.4M to $18.9MSep 25, 2025 to Jan 30, 2026
- RAUM · $278M to $328MSep 25, 2025 to Jan 30, 2026
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to Jul 29, 2025
- Accounts · 629 to 638Jun 26, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Jun 26, 2024 to Mar 31, 2025
- HNW clients · 51 to 46Jun 26, 2024 to Mar 31, 2025
- Individual clients · 188 to 200Jun 26, 2024 to Mar 31, 2025
- Assets in custody · $8.8M to $1.3MJun 26, 2024 to Mar 31, 2025
- Employees · 6 to 5Jun 26, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 4Jun 26, 2024 to Mar 31, 2025
- Other offices · 6 to 5Jun 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $239M to $263MJun 26, 2024 to Mar 31, 2025
- HNW RAUM · $160M to $174MJun 26, 2024 to Mar 31, 2025
- Individual RAUM · $89.0M to $98.2MJun 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $15.6M to $14.4MJun 26, 2024 to Mar 31, 2025
- RAUM · $255M to $278MJun 26, 2024 to Mar 31, 2025
- Accounts · 648 to 629Mar 20, 2023 to Mar 28, 2024
- Charity clients · 9 to 8Mar 20, 2023 to Mar 28, 2024
- HNW clients · 52 to 51Mar 20, 2023 to Mar 28, 2024
- Individual clients · 195 to 188Mar 20, 2023 to Mar 28, 2024
- Assets in custody · $1.7M to $8.8MMar 20, 2023 to Mar 28, 2024
- Other offices · 3 to 6Mar 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $225M to $239MMar 20, 2023 to Mar 28, 2024
- HNW RAUM · $152M to $160MMar 20, 2023 to Mar 28, 2024
- Individual RAUM · $82.1M to $89.0MMar 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $14.2M to $15.6MMar 20, 2023 to Mar 28, 2024
- RAUM · $239M to $255MMar 20, 2023 to Mar 28, 2024
- Accounts · 607 to 648Nov 29, 2022 to Mar 17, 2023
- Advisory activities · 6 to 5Nov 29, 2022 to Mar 17, 2023
- Charity clients · 8 to 9Nov 29, 2022 to Mar 17, 2023
- HNW clients · 53 to 52Nov 29, 2022 to Mar 17, 2023
Signals
2 dated events
- A••• J••• B••••••• left S••••••• C•••••• M••••••••• L•• for N•••••• A••••••• (registered 2024-08-01)May 10, 2024 · Advisor changed firm · fact
- S••••••• C•••••• M••••••••• L•• reported RAUM $218.7M, down 43% from $380.6M (2018-09-24 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 816-531-2254reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3812713reportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 816-531-2254reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026