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•••• W••••• M••••••••• I•••
Latest filing Jan 2, 2015
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$67.7M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$22.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$7.6M gross assets
History
5 filings and snapshots on the tape
RAUM$67.7M as of Jan 2, 2015
Mar 30, 2012$92.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 2, 2015
Mar 30, 20120 then
Employees (5.A)3 as of Jan 2, 2015
Mar 25, 20133 then
Private funds3 as of Jan 2, 2015
Mar 30, 20123 then
RAUM -26% over the last fiscal year-9.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 2, 2015; every figure names its basis
- RAUM per advisor
- $22.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $115,176derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $6.6M, 141 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 588reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.6M for 141 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• K••• H•••••••• | Overland Park, Ks | Apr 5, 2000 | 26 y | 0 |
| S•••••• J•••• S•••• | Overland Park, Ks | Sep 6, 2007 | 19 y | 0 |
| T•••• C•••• H•••••••• | Overland Park, Ks | Oct 20, 2023 | 15 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
- D••••• R•••••• W•••• to E•••••• F•••••••• E••••••Feb 14, 2022 · Other
- S•••••• W••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 15, 2011 · Other
- C••• L••• L••••••••• to F••••••• W••••• M••••••••• L••Sep 7, 2007 · Other
- T••• D•••• K••• to F••••••• W••••• M••••••••• L••Sep 7, 2007 · Other
- N••••••• M•••••• B•••• to F••••••• W••••• M••••••••• L••Sep 7, 2007 · Other
Joined, latest
- D••••• R•••••• W•••• from E••••• J••••Sep 22, 2009 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• R••• E••••• F••• I• L•• | Real Estate Fund | $5.4M | 3 | Mar 30, 2012 |
| T••••••• I••••••••• L•• | Real Estate Fund | $1.3M | 3 | Mar 30, 2012 |
| T••••••• I•• L•• | Real Estate Fund | $862,440 | 7 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• T•••••• K••• · Presidentcontrolsince 02/2000 · owns 75% or more
- S••••• S••••••• J•••• · Chief Compliance Officercontrolsince 09/2007 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 672 to 588Mar 31, 2014 to Jan 2, 2015
- Assets in custody · $8.9M to $6.6MMar 31, 2014 to Jan 2, 2015
- Discretionary RAUM · $86.0M to $65.5MMar 31, 2014 to Jan 2, 2015
- Non-discretionary RAUM · $5.0M to $2.2MMar 31, 2014 to Jan 2, 2015
- RAUM · $91.0M to $67.7MMar 31, 2014 to Jan 2, 2015
- Accounts · 740 to 672Nov 21, 2013 to Mar 31, 2014
- Assets in custody · $8.7M to $8.9MNov 21, 2013 to Mar 31, 2014
- Discretionary RAUM · $93.1M to $86.0MNov 21, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $3.1M to $5.0MNov 21, 2013 to Mar 31, 2014
- RAUM · $96.2M to $91.0MNov 21, 2013 to Mar 31, 2014
- Assets in custody · $7.6M to $8.7MMar 25, 2013 to Nov 21, 2013
- Accounts · 715 to 740Mar 30, 2012 to Mar 25, 2013
- Advisory employees · unset to 2.0Mar 30, 2012 to Mar 25, 2013
- Assets in custody · $7.5M to $7.6MMar 30, 2012 to Mar 25, 2013
- Employees · unset to 3.0Mar 30, 2012 to Mar 25, 2013
- State-registered IARs · 0 to 2Mar 30, 2012 to Mar 25, 2013
- Discretionary RAUM · $89.7M to $93.1MMar 30, 2012 to Mar 25, 2013
- Non-discretionary RAUM · $2.9M to $3.1MMar 30, 2012 to Mar 25, 2013
- RAUM · $92.5M to $96.2MMar 30, 2012 to Mar 25, 2013
Signals
1 dated events
- D••••• R•••••• W•••• left A•••• W••••• M••••••••• I••• for E•••••• F•••••••• E•••••• (registered 2022-03-04)Feb 14, 2022 · Advisor changed firm · 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
- Website
- A••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A•••• W••••• M••••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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