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
C••••••••• A•••••••
Legal name C••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jun 23, 2017
RAUM
$265M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$264M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$265M as of Mar 31, 2026
Mar 29, 2012$68.8M then
HNW client RAUM$185M as of Mar 31, 2026
Mar 29, 2018$81.3M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 20185 then
Private funds: no history
RAUM +8.4% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 155derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $232,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $28.0M, 13 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M70%
- Individuals$79.2M30%
- Corporations and businesses$752,7830.3%
- Pension and profit-sharing plans$12,2860.0%
- Charitable organizations$60.0%
- Individual clients
- 364reported
- HNW clients
- 100reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 1,139reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.0M for 13 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A• S••••••• | Topeka, Ks | Jun 23, 2017 | 15 y | 0 |
| M••• W••••• B••••••• | Topeka, Ks | Jun 23, 2017 | 12 y | 0 |
| S•••• A•••• W••••• | Topeka, Ks | Jan 2, 2026 | 19 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 headcount0 left over 36 months
Left, latest
- W•••••• A••• M•••• to C•••••• F••••••••May 14, 2021 · RIA to RIA
- L••••••• J••••• H•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 23, 2019 · RIA to affiliated broker-dealer or bank
- K••••• D• W••• to K••••••••• I••••••••• A•••••• L••Oct 5, 2006 · Other
- J•••• R•••••• L••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 13, 2005 · Other
- P•••• E•••••• L•••• to C•••• A••••••• C•••Jul 30, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M•••• W••••• · Owner, C•••• Compliance Officercontrolsince 03/2023 · owns 50% to 75%
- S•••••••• J••••••• A• · Ownercontrolsince 03/2023 · 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 |
|---|---|---|---|---|---|
| Topeka, Ks · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,092 to 1,139Mar 20, 2025 to Mar 31, 2026
- HNW clients · 76 to 100Mar 20, 2025 to Mar 31, 2026
- Individual clients · 376 to 364Mar 20, 2025 to Mar 31, 2026
- Pension plan clients · 4 to 3Mar 20, 2025 to Mar 31, 2026
- Assets in custody · $21.6M to $28.0MMar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $223M to $240MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $171M to $185MMar 20, 2025 to Mar 31, 2026
- Individual RAUM · $72.9M to $79.2MMar 20, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $21.4M to $25.0MMar 20, 2025 to Mar 31, 2026
- Pension RAUM · $56,581 to $12,286Mar 20, 2025 to Mar 31, 2026
- RAUM · $245M to $265MMar 20, 2025 to Mar 31, 2026
- Accounts · 1,099 to 1,092Mar 22, 2024 to Mar 20, 2025
- Corporate clients · 3 to 2Mar 22, 2024 to Mar 20, 2025
- HNW clients · 125 to 76Mar 22, 2024 to Mar 20, 2025
- Individual clients · 473 to 376Mar 22, 2024 to Mar 20, 2025
- Pension plan clients · unset to 4.0Mar 22, 2024 to Mar 20, 2025
- Assets in custody · $18.2M to $21.6MMar 22, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $184M to $223MMar 22, 2024 to Mar 20, 2025
- HNW RAUM · $134M to $171MMar 22, 2024 to Mar 20, 2025
- Individual RAUM · $83.0M to $72.9MMar 22, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $33.8M to $21.4MMar 22, 2024 to Mar 20, 2025
- Pension RAUM · unset to 56581.0Mar 22, 2024 to Mar 20, 2025
- RAUM · $218M to $245MMar 22, 2024 to Mar 20, 2025
- Accounts · 1,091 to 1,099Dec 1, 2023 to Mar 22, 2024
- Charity clients · unset to 1.0Dec 1, 2023 to Mar 22, 2024
- Corporate clients · unset to 3.0Dec 1, 2023 to Mar 22, 2024
- HNW clients · 69 to 125Dec 1, 2023 to Mar 22, 2024
- Individual clients · 374 to 473Dec 1, 2023 to Mar 22, 2024
- Assets in custody · $17.7M to $18.2MDec 1, 2023 to Mar 22, 2024
- Employees · 3 to 2Dec 1, 2023 to Mar 22, 2024
- Financial planning clients · 1-10 to 0Dec 1, 2023 to Mar 22, 2024
- Discretionary RAUM · $164M to $184MDec 1, 2023 to Mar 22, 2024
- HNW RAUM · $112M to $134MDec 1, 2023 to Mar 22, 2024
- Individual RAUM · $81.9M to $83.0MDec 1, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $30.4M to $33.8MDec 1, 2023 to Mar 22, 2024
- RAUM · $194M to $218MDec 1, 2023 to Mar 22, 2024
- Advisory employees · 3 to 2Mar 31, 2023 to Aug 8, 2023
- Advisory activities · 3 to 2Mar 31, 2023 to Aug 8, 2023
- Employees · 4 to 3Mar 31, 2023 to Aug 8, 2023
Signals
3 dated events
- Gene Donald Schwart (Pres./Managing Member) no longer on Schedule A of C••••••••• A••••••• (listed 2022-03-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Danyse M. Ford (Chief Compliance Officer) no longer on Schedule A of C••••••••• A••••••• (listed 2022-03-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- C••••••••• A••••••• filed its initial SEC registration (Form ADV)May 17, 2017 · First SEC registration · fact
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
- d••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 785-273-2685reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 785-273-1641reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-235-9063reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 785-273-2685reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $88.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026