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
Prism Financial Group, L.L.C.
Latest filing Feb 28, 2025
First filing on the tape Nov 22, 2011 · 32 filings
SEC status approved since Dec 12, 2002
RAUM
$1.7B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
83%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.7B as of Feb 28, 2025
Mar 23, 2012$181M then
HNW client RAUM$1.3B as of Feb 28, 2025
Mar 27, 2018$385M then
State-registered IARs (5.B.3)5 as of Feb 28, 2025
Mar 23, 20120 then
Employees (5.A)9 as of Feb 28, 2025
Mar 25, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 28, 2025; every figure names its basis
- RAUM per advisor
- $340MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $686,366derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $967M, 408 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
- High-net-worth individuals$1.3B77%
- Pension and profit-sharing plans$174M10%
- Corporations and businesses$113M6.6%
- Individuals$87.6M5.2%
- Charitable organizations$8.7M0.5%
- Individual clients
- 378reported
- HNW clients
- 318reported
- Pension plan clients
- 40reported
- Charitable clients
- 13reported
- Accounts
- 2,474reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $967M for 408 clientsreported
- 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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- Charles Henry Koch to Aprio Wealth Management, LLCDec 3, 2025 · RIA to RIA
- Timothy Brian Shmidl to Aprio Wealth Management, LLCDec 3, 2025 · RIA to RIA
- Randy A Schaller to Aprio Wealth Management, LLCDec 3, 2025 · RIA to RIA
- John Patrick Bohan to Aprio Wealth Management, LLCDec 3, 2025 · RIA to RIA
- Amanda Louise Brown to Aprio Wealth Management, LLCDec 3, 2025 · RIA to RIA
- Darren R Gray to Securities America Advisors, Inc.May 15, 2015 · Other
- Darren R Gray to Concert Wealth ManagementOct 24, 2012 · Other
- James Curtis Claiborne to Cambridge Investment Research Advisors, Inc.Jun 3, 2010 · Other
Joined, latest
- John Patrick Bohan from LPL Financial LLCOct 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- Randy A Schaller from Smart401k, LLCMar 23, 2016 · Other
- Darren R Gray from Concert Wealth ManagementJan 14, 2013 · Other
- Charles Henry Koch from Smart401k, LLCJan 14, 2013 · Other
- James Curtis Claiborne from New England Securities CorporationAug 4, 2005 · Other
- Darren R Gray from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 5, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Aprio Wealth Management, LLCDec 3, 2025 · Overland Park, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Brian Timothy Shmidl · Ownercontrolsince 04/1999 · owns 50% to 75%
- Marie Theresa Shmidl · Chief Compliance Officersince 06/2004 · owns less than 5%
Entity owners
- Mh Capital, LLC · Ownerdirect · owns 25% to 50%
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 | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,379 to 2,474Mar 18, 2024 to Feb 28, 2025
- Corporate clients · 93 to 100Mar 18, 2024 to Feb 28, 2025
- HNW clients · 315 to 318Mar 18, 2024 to Feb 28, 2025
- Individual clients · 359 to 378Mar 18, 2024 to Feb 28, 2025
- Pension plan clients · 37 to 40Mar 18, 2024 to Feb 28, 2025
- Assets in custody · $921M to $967MMar 18, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Feb 28, 2025
- Discretionary RAUM · $1.4B to $1.6BMar 18, 2024 to Feb 28, 2025
- HNW RAUM · $1.1B to $1.3BMar 18, 2024 to Feb 28, 2025
- Individual RAUM · $74.7M to $87.6MMar 18, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $111M to $133MMar 18, 2024 to Feb 28, 2025
- Pension RAUM · $148M to $174MMar 18, 2024 to Feb 28, 2025
- RAUM · $1.5B to $1.7BMar 18, 2024 to Feb 28, 2025
- Accounts · 2,134 to 2,379Oct 10, 2023 to Mar 18, 2024
- Charity clients · 9 to 13Oct 10, 2023 to Mar 18, 2024
- Corporate clients · 70 to 93Oct 10, 2023 to Mar 18, 2024
- HNW clients · 280 to 315Oct 10, 2023 to Mar 18, 2024
- Individual clients · 315 to 359Oct 10, 2023 to Mar 18, 2024
- Pension plan clients · 33 to 37Oct 10, 2023 to Mar 18, 2024
- Assets in custody · $673M to $921MOct 10, 2023 to Mar 18, 2024
- Employees · 7 to 9Oct 10, 2023 to Mar 18, 2024
- State-registered IARs · 4 to 5Oct 10, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.1B to $1.4BOct 10, 2023 to Mar 18, 2024
- HNW RAUM · $928M to $1.1BOct 10, 2023 to Mar 18, 2024
- Individual RAUM · $69.8M to $74.7MOct 10, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $119M to $111MOct 10, 2023 to Mar 18, 2024
- Pension RAUM · $151M to $148MOct 10, 2023 to Mar 18, 2024
- RAUM · $1.2B to $1.5BOct 10, 2023 to Mar 18, 2024
- Accounts · 2,076 to 2,134Mar 29, 2022 to Mar 23, 2023
- Charity clients · 10 to 9Mar 29, 2022 to Mar 23, 2023
- Corporate clients · 58 to 70Mar 29, 2022 to Mar 23, 2023
- HNW clients · 263 to 280Mar 29, 2022 to Mar 23, 2023
- Individual clients · 305 to 315Mar 29, 2022 to Mar 23, 2023
- Pension plan clients · 32 to 33Mar 29, 2022 to Mar 23, 2023
- Assets in custody · $607M to $673MMar 29, 2022 to Mar 23, 2023
- Employees · 8 to 7Mar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.1B to $1.1BMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $910M to $928MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $79.1M to $69.8MMar 29, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $152M to $119MMar 29, 2022 to Mar 23, 2023
Signals
9 dated events
- Prism Financial Group, L.L.C. no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $1.7B)Jan 2, 2026 · Left the SEC roster · derived
- Amanda Louise Brown left Prism Financial Group, L.L.C. for Aprio Wealth Management, Llc (registered 2025-11-12)Dec 3, 2025 · Advisor changed firm · fact
- Randy A Schaller left Prism Financial Group, L.L.C. for Aprio Wealth Management, Llc (registered 2025-11-05)Dec 3, 2025 · Advisor changed firm · fact
- John Patrick Bohan left Prism Financial Group, L.L.C. for Aprio Wealth Management, Llc (registered 2026-01-09)Dec 3, 2025 · Advisor changed firm · fact
- Timothy Brian Shmidl left Prism Financial Group, L.L.C. for Aprio Wealth Management, Llc (registered 2025-11-05)Dec 3, 2025 · Advisor changed firm · fact
- Charles Henry Koch left Prism Financial Group, L.L.C. for Aprio Wealth Management, Llc (registered 2025-11-05)Dec 3, 2025 · Advisor changed firm · fact
- Prism Financial Group, L.L.C.'s advisors moved to Aprio Wealth Management, LLC (Overland Park, KS): 5 of 5 registered, on the same dayDec 3, 2025 · Firm absorbed (people side) · derived
- Prism Financial Group, L.L.C. reported RAUM $1.3B, up 30% from $965.2M (2021-03-05 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Prism Financial Group, L.L.C. reported RAUM $606.8M, up 50% from $404.5M (2017-03-09 to 2018-03-27)Mar 27, 2018 · 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.
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