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

M••• S••••• A•••••••• L••

Former SEC-registered adviserHays, KansasCRD 116303SEC 801-69101IAPD
Latest filing Jun 21, 2012
First filing on the tape Dec 22, 2011 · 8 filings
RAUM
$43.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$43.6M as of Jun 21, 2012
Dec 22, 2011$55.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 21, 2012
Dec 22, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 21, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$67,037derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived11 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
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
651reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••••• B•••• A••••• · Chief Compliance Officercontrol
      since 03/2005 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Hays, Ks · principal000
    Laguna Niguel, Ca000
    Turlock, Ca000
    Offices
    Schedule D 1.F, the 25 largest
    • Andover, KS
    • Grand Island, NE
    • High Point, NC
    • Laguna Niguel, CA
    • Leavenworth, KS
    • Madison, CT
    • St. Louis, MO
    • Turlock, CA
    • ,
    What changed
    consecutive filings, newest first
    • Advisory activities · 5 to 4
      May 16, 2012 to Jun 6, 2012
    • Commission compensation · false to true
      May 16, 2012 to Jun 6, 2012
    • Accounts · 733 to 651
      Dec 22, 2011 to Feb 27, 2012
    • Advisory activities · 4 to 5
      Dec 22, 2011 to Feb 27, 2012
    • Insurance-licensed employees · unset to 11.0
      Dec 22, 2011 to Feb 27, 2012
    • Discretionary RAUM · $55.8M to $43.6M
      Dec 22, 2011 to Feb 27, 2012
    • RAUM · $55.8M to $43.6M
      Dec 22, 2011 to Feb 27, 2012
    Signals
    11 dated events
    • B••• A••••• M••••••••• left M••• S••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2010-07-30)
      Apr 27, 2024 · Advisor changed firm · fact
    • R••••• B•••• S•••• left M••• S••••• A•••••••• L•• for T•• A•••••••• G•••• (registered 2023-10-16)
      Apr 27, 2024 · Advisor changed firm · fact
    • D•• H••••• M••••••••• left M••• S••••• A•••••••• L•• for T•• A•••••••• G•••• (registered 2023-10-17)
      Mar 28, 2024 · Advisor changed firm · fact
    • K•••••• L•• R••••• left M••• S••••• A•••••••• L•• for T•• A•••••••• G•••• (registered 2023-10-16)
      Mar 28, 2024 · Advisor changed firm · fact
    • 2 advisors left M••• S••••• A•••••••• L•• (Hays, KS) for T•• A•••••••• G•••• on the same day
      Mar 28, 2024 · Team lift-out · derived
    • C•••••• B•••• K•••••• left M••• S••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2010-08-03)
      Mar 28, 2024 · Advisor changed firm · fact
    • B•••• P••• K•••• left M••• S••••• A•••••••• L•• for T•• A•••••••• G•••• (registered 2023-10-16)
      Oct 16, 2023 · Advisor changed firm · fact
    • P••• W•••••••• P•••••• left M••• S••••• A•••••••• L•• for B•••• J••••• I••••••••• A•••••••• L•• (registered 2007-09-13)
      Oct 16, 2023 · Advisor changed firm · fact
    • J••• V••••• H•••• left M••• S••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2010-08-06)
      Jun 23, 2022 · Advisor changed firm · fact
    • D••••• J••••• M••• left M••• S••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2021-01-19)
      May 26, 2022 · Advisor changed firm · fact
    • D•••• L• E••••• left M••• S••••• A•••••••• L•• for B•••••••• F•••••••• S•••••••• I••• (registered 2022-02-15)
      Jan 11, 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.
    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