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

A••••••• F•••••••• A•••••••

Former SEC-registered adviserLawrence, KansasCRD 114412SEC 801-62611IAPD
Legal name A•• I•••
Latest filing Feb 6, 2023
First filing on the tape Mar 12, 2012 · 43 filings
RAUM
$466M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$438M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
22 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$466M as of Feb 6, 2023
Mar 12, 2012$103M then
HNW client RAUM$293M as of Feb 6, 2023
Mar 30, 2018$108M then
State-registered IARs (5.B.3)14 as of Feb 6, 2023
Mar 12, 20120 then
Employees (5.A)22 as of Feb 6, 2023
Feb 12, 20136 then
Private funds: no history
RAUM -10.0% over the last fiscal year+14% a year over threeIARs 13 to 14offices 4 to 5
Practice profile
derived from the filing of Feb 6, 2023; every figure names its basis
RAUM per advisor
$33.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$204,697derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-10.0%derivedbetween the last two annual amendments
Advisor growth, one year
+7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody
$424M, 1,058 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$293M63%
  • Individuals$145M31%
  • Corporations and businesses$22.8M4.9%
  • Pension and profit-sharing plans$5.5M1.2%
  • Charitable organizations$25,1910.0%
Individual clients
930reported
HNW clients
210reported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
2,278reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$424M for 1,058 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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• V•••••••• M•••• · Chief Executive Officercontrol
      since 04/2019 · owns 25% to 50%
    • C••••••• K••••• A••• · Chief Compliance Officercontrol
      since 04/2019 · owns less than 5%
    • K••••••• P••••• D•••••• · Presidentcontrol
      since 04/2019 · owns 25% to 50%
    • M•••••••• J•••••• L••• · Secretarycontrol
      since 04/2019 · owns 10% to 25%
    • M•••••••• W••••• L•••• · Treasurer, Chief Financial Officer
      since 04/2019 · owns less than 5%
    • M••••• J••••• M• · Shareholder
      since 01/2021 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Copley, Oh000
    Lawrence, Ks · principal000
    Satellite Beach, Fl000
    Stow, Oh000
    Offices
    Schedule D 1.F, the 25 largest
    • Satellite Beach, FL2 employees
    • Bokeelia, FL1 employees
    • Marysville, KS1 employees
    • Orlando, FL1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,334 to 2,278
      Jan 13, 2023 to Feb 6, 2023
    • Advisory employees · 20 to 22
      Jan 13, 2023 to Feb 6, 2023
    • BD registered reps · 9 to 8
      Jan 13, 2023 to Feb 6, 2023
    • HNW clients · 226 to 210
      Jan 13, 2023 to Feb 6, 2023
    • Individual clients · 749 to 930
      Jan 13, 2023 to Feb 6, 2023
    • Assets in custody · $14.3M to $424M
      Jan 13, 2023 to Feb 6, 2023
    • Employees · 20 to 22
      Jan 13, 2023 to Feb 6, 2023
    • State-registered IARs · 13 to 14
      Jan 13, 2023 to Feb 6, 2023
    • Discretionary RAUM · $515M to $466M
      Jan 13, 2023 to Feb 6, 2023
    • HNW RAUM · $350M to $293M
      Jan 13, 2023 to Feb 6, 2023
    • Individual RAUM · $135M to $145M
      Jan 13, 2023 to Feb 6, 2023
    • Non-discretionary RAUM · $3.4M to $0
      Jan 13, 2023 to Feb 6, 2023
    • Pension RAUM · $3.7M to $5.5M
      Jan 13, 2023 to Feb 6, 2023
    • RAUM · $518M to $466M
      Jan 13, 2023 to Feb 6, 2023
    • Other offices · 6 to 5
      Apr 19, 2022 to May 17, 2022
    • Other offices · 4 to 6
      Mar 3, 2022 to Apr 19, 2022
    • Accounts · 1,698 to 2,334
      Oct 21, 2021 to Mar 3, 2022
    • Advisory employees · 11 to 20
      Oct 21, 2021 to Mar 3, 2022
    • BD registered reps · 8 to 9
      Oct 21, 2021 to Mar 3, 2022
    • HNW clients · 147 to 226
      Oct 21, 2021 to Mar 3, 2022
    • Individual clients · 583 to 749
      Oct 21, 2021 to Mar 3, 2022
    • Pension plan clients · 1 to 4
      Oct 21, 2021 to Mar 3, 2022
    • Assets in custody · $380M to $14.3M
      Oct 21, 2021 to Mar 3, 2022
    • Employees · 11 to 20
      Oct 21, 2021 to Mar 3, 2022
    • Insurance-licensed employees · 8 to 7
      Oct 21, 2021 to Mar 3, 2022
    • State-registered IARs · 11 to 13
      Oct 21, 2021 to Mar 3, 2022
    • Discretionary RAUM · $401M to $515M
      Oct 21, 2021 to Mar 3, 2022
    • HNW RAUM · $235M to $350M
      Oct 21, 2021 to Mar 3, 2022
    • Individual RAUM · $140M to $135M
      Oct 21, 2021 to Mar 3, 2022
    • Non-discretionary RAUM · $0 to $3.4M
      Oct 21, 2021 to Mar 3, 2022
    • Pension RAUM · $1.9M to $3.7M
      Oct 21, 2021 to Mar 3, 2022
    • RAUM · $401M to $518M
      Oct 21, 2021 to Mar 3, 2022
    • Business name · M••••••• K•••••• F•••••••• P••••••• to A••••••• F•••••••• A•••••••
      Jun 30, 2021 to Aug 16, 2021
    • Legal name · M••••••• K•••••• INC. to AFA INC.
      Jun 30, 2021 to Jun 30, 2021
    • Accounts · 1,510 to 1,698
      Dec 1, 2020 to Feb 16, 2021
    • Advisory employees · 5 to 11
      Dec 1, 2020 to Feb 16, 2021
    • Advisory activities · 4 to 3
      Dec 1, 2020 to Feb 16, 2021
    • BD registered reps · 6 to 8
      Dec 1, 2020 to Feb 16, 2021
    • Charity clients · 2 to 1
      Dec 1, 2020 to Feb 16, 2021
    • HNW clients · 142 to 147
      Dec 1, 2020 to Feb 16, 2021
    Signals
    19 dated events
    • 2 advisors left A••••••• F•••••••• A••••••• (Lawrence, KS) for O••••••• F•••••••• on the same day
      Oct 6, 2023 · Team lift-out · derived
    • N••••• R• K••••• left A••••••• F•••••••• A••••••• for O••••••• F•••••••• (registered 2023-07-10)
      Oct 6, 2023 · a•••••• firm change · fact
    • K•••• A••• C•••• left A••••••• F•••••••• A••••••• for C••••• A•••••• N••••••• L•• (registered 2009-05-28)
      Oct 6, 2023 · a•••••• firm change · fact
    • J••• S•••••• left A••••••• F•••••••• A••••••• for O••••••• F•••••••• (registered 2023-07-10)
      Oct 6, 2023 · a•••••• firm change · fact
    • L••• J••••••• B•••• left A••••••• F•••••••• A••••••• for O••••••• F•••••••• (registered 2023-07-10)
      Oct 6, 2023 · a•••••• firm change · fact
    • J•••• X••••• P••••••• left A••••••• F•••••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-01)
      Oct 6, 2023 · a•••••• firm change · fact
    • R••••• S•••• left A••••••• F•••••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-10-17)
      Oct 6, 2023 · a•••••• firm change · fact
    • G•••• O•••• M••••• left A••••••• F•••••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-15)
      Oct 6, 2023 · a•••••• firm change · fact
    • R••• F•••••••• S•••• left A••••••• F•••••••• A••••••• for R••• S•••• F•••••••• S••••••• (registered 2023-04-28)
      Oct 6, 2023 · a•••••• firm change · fact
    • J••••• L••• M••••••• left A••••••• F•••••••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2001-05-17)
      Aug 15, 2023 · a•••••• firm change · fact
    • 3 advisors left A••••••• F•••••••• A••••••• (Lawrence, KS) for A••••••• F••••••••• L••• on the same day
      Aug 15, 2023 · Team lift-out · derived
    • E••• A•••• S••••••• left A••••••• F•••••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-04-26)
      Aug 15, 2023 · a•••••• firm change · fact
    • C••• A•• V••••••• left A••••••• F•••••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-04-26)
      Aug 15, 2023 · a•••••• firm change · fact
    • A••• R••••••••• left A••••••• F•••••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-04-26)
      Aug 15, 2023 · a•••••• firm change · fact
    • J•••• M• M•••• left A••••••• F•••••••• A••••••• for T•• W••• C•••••• A••••••• L•• (registered 2019-11-07)
      Aug 15, 2023 · a•••••• firm change · fact
    • P•••• K•••••• left A••••••• F•••••••• A••••••• for C••••• A•••••• N••••••• L•• (registered 2008-05-13)
      Aug 15, 2023 · a•••••• firm change · fact
    • A••••••• F•••••••• A••••••• reported RAUM $518.1M, up 29% from $400.8M (2021-10-21 to 2022-03-03)
      Mar 3, 2022 · RAUM change · derived
    • C•••• T•••• left A••••••• F•••••••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-13)
      Feb 28, 2022 · a•••••• firm change · fact
    • M••••••• K•••••• F•••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      May 8, 2019 · Succession (Item 4) · fact
    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