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

Integrated Wealth Advisory Services, Inc.

Former SEC-registered adviserOverland Park, KansasCRD 115821SEC 801-76345IAPD

Latest filing Feb 23, 2023

First filing on the tape Apr 2, 2012 · 31 filings

RAUM

$379M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$368M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$379M as of Feb 23, 2023

Mar 19, 2013$151M then

HNW client RAUM$289M as of Feb 23, 2023

Mar 30, 2018$191M then

State-registered IARs (5.B.3)5 as of Feb 23, 2023

Mar 19, 20134 then

Employees (5.A)7 as of Feb 23, 2023

Mar 19, 20137 then

Private funds: no history

RAUM -3.1% over the last fiscal year+8.5% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Feb 23, 2023; every figure names its basis

RAUM per advisor: $75.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 65derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $213,481derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.4derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -3.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.3%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, 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)
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$289M76%
Individuals$78.7M21%
Corporations and businesses$6.0M1.6%
Charitable organizations$5.0M1.3%

Individual clients: 212reported
HNW clients: 112reported
Pension plan clients: n/areported
Charitable clients: 8reported
Accounts: 1,774reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

Bill Lee Day to Geneos Wealth Management, Inc.
May 31, 2023 · Other
Tray A Wiltse to Geneos Wealth Management, Inc.
May 31, 2023 · Other
Katie L Justus to Cwm, LLC
May 31, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

Tray A Wiltse from Osaic Wealth, Inc.
Nov 22, 2005 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Geneos Wealth Management, Inc.
May 31, 2023 · Overland Park, Ks

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Lee Bill Day · Shareholdercontrol
since 01/2013 · owns 25% to 50%
Lee Craig Splan · Chief Compliance Officer, Presidentcontrol
since 01/2006 · owns 25% to 50%
A Tray Wiltse · Shareholder/Assistant Compliance Officercontrol
since 01/2006 · owns 25% to 50%

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

Accounts · 1,744 to 1,774
Feb 15, 2023 to Feb 23, 2023
Charity clients · 6 to 8
Feb 15, 2023 to Feb 23, 2023
HNW clients · 114 to 112
Feb 15, 2023 to Feb 23, 2023
Individual clients · 206 to 212
Feb 15, 2023 to Feb 23, 2023
Employees · 6 to 7
Feb 15, 2023 to Feb 23, 2023
Discretionary RAUM · $391M to $379M
Feb 15, 2023 to Feb 23, 2023
HNW RAUM · $293M to $289M
Feb 15, 2023 to Feb 23, 2023
Individual RAUM · $84.5M to $78.7M
Feb 15, 2023 to Feb 23, 2023
RAUM · $391M to $379M
Feb 15, 2023 to Feb 23, 2023
Accounts · 1,698 to 1,744
Feb 21, 2022 to Mar 8, 2022
Charity clients · unset to 6.0
Feb 21, 2022 to Mar 8, 2022
HNW clients · 94 to 114
Feb 21, 2022 to Mar 8, 2022
Individual clients · 235 to 206
Feb 21, 2022 to Mar 8, 2022
Discretionary RAUM · $312M to $391M
Feb 21, 2022 to Mar 8, 2022
HNW RAUM · $211M to $293M
Feb 21, 2022 to Mar 8, 2022
Individual RAUM · $89.2M to $84.5M
Feb 21, 2022 to Mar 8, 2022
RAUM · $312M to $391M
Feb 21, 2022 to Mar 8, 2022
Accounts · 1,715 to 1,698
Jan 6, 2021 to Mar 6, 2021
Advisory employees · 3 to 4
Jan 6, 2021 to Mar 6, 2021
BD registered reps · 3 to 4
Jan 6, 2021 to Mar 6, 2021
HNW clients · 91 to 94
Jan 6, 2021 to Mar 6, 2021
Individual clients · 222 to 235
Jan 6, 2021 to Mar 6, 2021
Employees · 7 to 6
Jan 6, 2021 to Mar 6, 2021
Financial planning clients · 1-10 to 0
Jan 6, 2021 to Mar 6, 2021
Discretionary RAUM · $297M to $312M
Jan 6, 2021 to Mar 6, 2021
HNW RAUM · $203M to $211M
Jan 6, 2021 to Mar 6, 2021
Individual RAUM · $83.1M to $89.2M
Jan 6, 2021 to Mar 6, 2021
RAUM · $297M to $312M
Jan 6, 2021 to Mar 6, 2021
Accounts · 1,801 to 1,715
Mar 29, 2019 to Mar 12, 2020
HNW clients · 80 to 91
Mar 29, 2019 to Mar 12, 2020
Individual clients · 229 to 222
Mar 29, 2019 to Mar 12, 2020
State-registered IARs · 3 to 5
Mar 29, 2019 to Mar 12, 2020
Discretionary RAUM · $267M to $297M
Mar 29, 2019 to Mar 12, 2020
HNW RAUM · $175M to $203M
Mar 29, 2019 to Mar 12, 2020
Individual RAUM · $83.0M to $83.1M
Mar 29, 2019 to Mar 12, 2020
Pension RAUM · 1062482.0 to unset
Mar 29, 2019 to Mar 12, 2020
RAUM · $267M to $297M
Mar 29, 2019 to Mar 12, 2020
Accounts · 1,799 to 1,801
Jun 7, 2018 to Mar 29, 2019
Advisory activities · 2 to 3
Jun 7, 2018 to Mar 29, 2019
HNW clients · 83 to 80
Jun 7, 2018 to Mar 29, 2019

Signals

4 dated events

Katie L Justus left Integrated Wealth Advisory Services, Inc. for Cwm, Llc (registered 2023-04-03)
May 31, 2023 · Advisor changed firm · fact
Bill Lee Day left Integrated Wealth Advisory Services, Inc. for Geneos Wealth Management, Inc. (registered 2017-09-15)
May 31, 2023 · Advisor changed firm · fact
Tray A Wiltse left Integrated Wealth Advisory Services, Inc. for Geneos Wealth Management, Inc. (registered 2017-09-15)
May 31, 2023 · Advisor changed firm · fact
2 advisors left Integrated Wealth Advisory Services, Inc. (Overland Park, KS) for Geneos Wealth Management, Inc. on the same day
May 31, 2023 · Team lift-out · 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