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

C••••••••• F•••••••• M••••••••• I•••

Former SEC-registered adviserKansas City, MissouriCRD 115435SEC 801-66390IAPD
Latest filing Apr 17, 2019
First filing on the tape Feb 8, 2012 · 29 filings
RAUM
$52.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$41.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$52.4M as of Mar 28, 2019
Apr 3, 2012$125M then
HNW client RAUM$29.1M as of Mar 28, 2019
Feb 21, 2018$86.9M then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 21, 20132 then
Employees (5.A)2 as of Mar 28, 2019
Mar 21, 20135 then
Private funds: no history
RAUM -60% over the last fiscal year-24% a year over threeIARs 1 to 2offices 1 to 0
Practice profile
derived from the filing of Apr 17, 2019; every figure names its basis
RAUM per advisor
$26.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$331,470derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-60%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+41%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$29.1M56%
  • Individuals$12.0M23%
  • Charitable organizations$10.0M19%
  • Corporations and businesses$1.3M2.5%
Individual clients
144reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
158reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • E•••••• D••••••• E••••• · Investment Manager, Chief Compliance Officercontrol
      since 01/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 2 to 3
      Mar 28, 2019 to Apr 9, 2019
    • Accounts · 270 to 158
      Feb 13, 2019 to Mar 28, 2019
    • Business name · C••••••••• F•••••••• M••••••••• to C••••••••• F•••••••• M••••••••• I•••
      Feb 13, 2019 to Mar 28, 2019
    • Charity clients · 7 to 2
      Feb 13, 2019 to Mar 28, 2019
    • Corporate clients · 3 to 2
      Feb 13, 2019 to Mar 28, 2019
    • HNW clients · 12 to 10
      Feb 13, 2019 to Mar 28, 2019
    • Individual clients · 248 to 144
      Feb 13, 2019 to Mar 28, 2019
    • Pension plan clients · 6.0 to unset
      Feb 13, 2019 to Mar 28, 2019
    • Legal name · C••••••••• F•••••••• M••••••••• to C••••••••• F•••••••• M••••••••• I•••
      Feb 13, 2019 to Mar 28, 2019
    • Discretionary RAUM · $125M to $52.4M
      Feb 13, 2019 to Mar 28, 2019
    • HNW RAUM · $60.4M to $29.1M
      Feb 13, 2019 to Mar 28, 2019
    • Individual RAUM · $19.2M to $12.0M
      Feb 13, 2019 to Mar 28, 2019
    • Pension RAUM · 34452016.0 to unset
      Feb 13, 2019 to Mar 28, 2019
    • RAUM · $125M to $52.4M
      Feb 13, 2019 to Mar 28, 2019
    • Succession · true to false
      Feb 13, 2019 to Mar 28, 2019
    • Succession · false to true
      Jan 23, 2019 to Feb 13, 2019
    • Accounts · 109 to 270
      Dec 21, 2018 to Jan 8, 2019
    • Advisory employees · 1 to 2
      Dec 21, 2018 to Jan 8, 2019
    • Charity clients · 0 to 7
      Dec 21, 2018 to Jan 8, 2019
    • Corporate clients · 0 to 3
      Dec 21, 2018 to Jan 8, 2019
    • HNW clients · 98 to 12
      Dec 21, 2018 to Jan 8, 2019
    • Individual clients · 11 to 248
      Dec 21, 2018 to Jan 8, 2019
    • Pension plan clients · 0 to 6
      Dec 21, 2018 to Jan 8, 2019
    • Employees · 1 to 2
      Dec 21, 2018 to Jan 8, 2019
    • State-registered IARs · 1 to 2
      Dec 21, 2018 to Jan 8, 2019
    • Discretionary RAUM · $131M to $125M
      Dec 21, 2018 to Jan 8, 2019
    • HNW RAUM · $86.9M to $60.4M
      Dec 21, 2018 to Jan 8, 2019
    • Individual RAUM · $43.7M to $19.2M
      Dec 21, 2018 to Jan 8, 2019
    • Pension RAUM · $0 to $34.5M
      Dec 21, 2018 to Jan 8, 2019
    • RAUM · $131M to $125M
      Dec 21, 2018 to Jan 8, 2019
    • Advisory employees · 2 to 1
      Dec 19, 2018 to Dec 21, 2018
    • Employees · 2 to 1
      Dec 19, 2018 to Dec 21, 2018
    • State-registered IARs · 2 to 1
      Dec 19, 2018 to Dec 21, 2018
    • Organization form · Limited Liability Company to Corporation
      Dec 17, 2018 to Dec 19, 2018
    • HQ city · LENEXA to KANSAS CITY
      Sep 25, 2018 to Dec 17, 2018
    • Other offices · 1 to 0
      Sep 25, 2018 to Dec 17, 2018
    • HQ state · KS to MO
      Dec 17, 2018 to Dec 17, 2018
    • Advisory employees · 1 to 2
      Feb 21, 2018 to Sep 25, 2018
    • Employees · 1 to 2
      Feb 21, 2018 to Sep 25, 2018
    • State-registered IARs · 1 to 2
      Feb 21, 2018 to Sep 25, 2018
    Signals
    1 dated events
    • C••••••••• F•••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 13, 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