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

H•••••••• W••••• A•••••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 115156SEC 801-79262IAPD
Latest filing Mar 7, 2022
First filing on the tape Mar 20, 2012 · 17 filings
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$281M as of Mar 7, 2022
Mar 20, 2012$75.3M then
HNW client RAUM$241M as of Mar 7, 2022
Mar 29, 2018$149M then
State-registered IARs (5.B.3)3 as of Mar 7, 2022
Mar 20, 20120 then
Employees (5.A)4 as of Mar 7, 2022
Mar 18, 20153 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 7, 2022; every figure names its basis
RAUM per advisor
$93.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$554,440derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$241M86%
  • Individuals$30.6M11%
  • Pension and profit-sharing plans$8.5M3.0%
  • Charitable organizations$975,1940.3%
  • Corporations and businesses$93,6890.0%
Individual clients
79reported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
507reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••• D••••••• A•••• · Managing Membercontrol
      since 08/1999 · owns 75% or more
    • O••••••• J••••••••• M••••••• · Chief Compliance Officer
      since 01/2010 · owns less than 5%
    Related persons
    Schedule D 7.A
    • W•• C••••• L••
      insurancen
    • W•••••••• H••• • A••••••••• C•••••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 528 to 507
      Mar 16, 2021 to Mar 7, 2022
    • Individual clients · 85 to 79
      Mar 16, 2021 to Mar 7, 2022
    • Financial planning clients · 0 to unset
      Mar 16, 2021 to Mar 7, 2022
    • Discretionary RAUM · $250M to $281M
      Mar 16, 2021 to Mar 7, 2022
    • HNW RAUM · $206M to $241M
      Mar 16, 2021 to Mar 7, 2022
    • Individual RAUM · $30.7M to $30.6M
      Mar 16, 2021 to Mar 7, 2022
    • Pension RAUM · $11.5M to $8.5M
      Mar 16, 2021 to Mar 7, 2022
    • RAUM · $250M to $281M
      Mar 16, 2021 to Mar 7, 2022
    • Accounts · 561 to 528
      Jun 22, 2020 to Mar 16, 2021
    • Advisory employees · 2 to 3
      Jun 22, 2020 to Mar 16, 2021
    • HNW clients · 76 to 75
      Jun 22, 2020 to Mar 16, 2021
    • Individual clients · 91 to 85
      Jun 22, 2020 to Mar 16, 2021
    • Pension plan clients · 5.0 to unset
      Jun 22, 2020 to Mar 16, 2021
    • Employees · 3 to 4
      Jun 22, 2020 to Mar 16, 2021
    • State-registered IARs · 2 to 3
      Jun 22, 2020 to Mar 16, 2021
    • Discretionary RAUM · $234M to $250M
      Jun 22, 2020 to Mar 16, 2021
    • HNW RAUM · $188M to $206M
      Jun 22, 2020 to Mar 16, 2021
    • Individual RAUM · $33.4M to $30.7M
      Jun 22, 2020 to Mar 16, 2021
    • Pension RAUM · $11.4M to $11.5M
      Jun 22, 2020 to Mar 16, 2021
    • RAUM · $234M to $250M
      Jun 22, 2020 to Mar 16, 2021
    • Accounts · 531 to 561
      Mar 11, 2019 to Mar 19, 2020
    • HNW clients · 80 to 76
      Mar 11, 2019 to Mar 19, 2020
    • Individual clients · 70 to 91
      Mar 11, 2019 to Mar 19, 2020
    • Discretionary RAUM · $197M to $234M
      Mar 11, 2019 to Mar 19, 2020
    • HNW RAUM · $166M to $188M
      Mar 11, 2019 to Mar 19, 2020
    • Individual RAUM · $21.4M to $33.4M
      Mar 11, 2019 to Mar 19, 2020
    • Pension RAUM · $8.7M to $11.4M
      Mar 11, 2019 to Mar 19, 2020
    • RAUM · $197M to $234M
      Mar 11, 2019 to Mar 19, 2020
    • Accounts · 503 to 531
      Jul 2, 2018 to Mar 11, 2019
    • HNW clients · 66 to 80
      Jul 2, 2018 to Mar 11, 2019
    • Individual clients · 66 to 70
      Jul 2, 2018 to Mar 11, 2019
    • Discretionary RAUM · $188M to $197M
      Jul 2, 2018 to Mar 11, 2019
    • HNW RAUM · $149M to $166M
      Jul 2, 2018 to Mar 11, 2019
    • Individual RAUM · $30.0M to $21.4M
      Jul 2, 2018 to Mar 11, 2019
    • Pension RAUM · $7.6M to $8.7M
      Jul 2, 2018 to Mar 11, 2019
    • RAUM · $188M to $197M
      Jul 2, 2018 to Mar 11, 2019
    • Business name · H•••••••• I••••••••• A•••••••• L•• to H•••••••• W••••• A•••••••• L••
      Mar 29, 2018 to Jul 2, 2018
    • Legal name · H•••••••• I••••••••• A•••••••• L•• to H•••••••• W••••• A•••••••• L••
      Mar 29, 2018 to Jul 2, 2018
    • Accounts · 479 to 503
      Apr 17, 2017 to Mar 29, 2018
    • HNW clients · unset to 66.0
      Apr 17, 2017 to Mar 29, 2018
    Signals
    2 dated events
    • D•••••• A•••• H••• left H•••••••• W••••• A•••••••• L•• for C••••••• P••••••• (registered 2022-10-05)
      Dec 31, 2022 · Advisor changed firm · fact
    • H•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 21, 2014 · 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.
    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