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

Personal Financial Group

Former SEC-registered adviserOverland Park, KansasCRD 116806SEC 801-70718IAPD
Latest filing Jun 28, 2019
First filing on the tape Dec 19, 2011 · 27 filings
RAUM
$29.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$14.4M as of Apr 5, 2019
Jan 23, 2012$133M then
HNW client RAUM$12.8M as of Apr 5, 2019
Mar 30, 2018$127M then
State-registered IARs (5.B.3)0 as of Apr 5, 2019
Jan 23, 20120 then
Employees (5.A)6 as of Apr 5, 2019
Feb 6, 201314 then
Private funds: no history
RAUM -93% over the last fiscal year-54% a year over threeIARs 14 to 0
Practice profile
derived from the filing of Jun 28, 2019; 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
$1.9MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-96%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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$27.1M93%
  • Individuals$2.0M6.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
15reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Left, 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
    • C Donald Clark · Presidentcontrol
      since 02/1998 · owns 75% or more
    • Everitt Linda Migliazzo · Chief Compliance Officer
      since 09/2009 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Overland Park, KS3 employees
    What changed
    consecutive filings, newest first
    • Financial planning clients · 251-500 to 1-10
      Apr 5, 2019 to Jun 28, 2019
    • Discretionary RAUM · $14.4M to $29.1M
      Apr 5, 2019 to Jun 28, 2019
    • HNW RAUM · $12.8M to $27.1M
      Apr 5, 2019 to Jun 28, 2019
    • Individual RAUM · $1.5M to $2.0M
      Apr 5, 2019 to Jun 28, 2019
    • RAUM · $14.4M to $29.1M
      Apr 5, 2019 to Jun 28, 2019
    • Related adviser · false to true
      Apr 5, 2019 to Jun 28, 2019
    • Accounts · 225 to 15
      Dec 18, 2018 to Apr 5, 2019
    • Advisory employees · 14 to 6
      Dec 18, 2018 to Apr 5, 2019
    • BD registered reps · 1 to 6
      Dec 18, 2018 to Apr 5, 2019
    • Corporate clients · 6.0 to unset
      Dec 18, 2018 to Apr 5, 2019
    • HNW clients · 12.0 to unset
      Dec 18, 2018 to Apr 5, 2019
    • Individual clients · 206.0 to unset
      Dec 18, 2018 to Apr 5, 2019
    • Employees · 17 to 6
      Dec 18, 2018 to Apr 5, 2019
    • Insurance-licensed employees · 0 to 6
      Dec 18, 2018 to Apr 5, 2019
    • State-registered IARs · 14 to 0
      Dec 18, 2018 to Apr 5, 2019
    • Discretionary RAUM · $396M to $14.4M
      Dec 18, 2018 to Apr 5, 2019
    • HNW RAUM · $127M to $12.8M
      Dec 18, 2018 to Apr 5, 2019
    • Individual RAUM · $258M to $1.5M
      Dec 18, 2018 to Apr 5, 2019
    • Non-discretionary RAUM · $1.9M to $0
      Dec 18, 2018 to Apr 5, 2019
    • RAUM · $398M to $14.4M
      Dec 18, 2018 to Apr 5, 2019
    • Wrap assets (manager) · $279M to $0
      Dec 18, 2018 to Apr 5, 2019
    • Wrap assets (sponsor) · $279M to $0
      Dec 18, 2018 to Apr 5, 2019
    • Accounts · 1,436 to 225
      May 18, 2017 to Mar 30, 2018
    • Advisory employees · 20 to 14
      May 18, 2017 to Mar 30, 2018
    • Advisory activities · 4 to 3
      May 18, 2017 to Mar 30, 2018
    • BD registered reps · 17 to 1
      May 18, 2017 to Mar 30, 2018
    • Charity clients · unset to 0.0
      May 18, 2017 to Mar 30, 2018
    • Corporate clients · unset to 6.0
      May 18, 2017 to Mar 30, 2018
    • HNW clients · unset to 12.0
      May 18, 2017 to Mar 30, 2018
    • Individual clients · unset to 206.0
      May 18, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      May 18, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      May 18, 2017 to Mar 30, 2018
    • Employees · 20 to 17
      May 18, 2017 to Mar 30, 2018
    • Financial planning clients · More than 500 to 251-500
      May 18, 2017 to Mar 30, 2018
    • State-registered IARs · 20 to 14
      May 18, 2017 to Mar 30, 2018
    • Other offices · unset to 3.0
      May 18, 2017 to Mar 30, 2018
    • Discretionary RAUM · $346M to $396M
      May 18, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 127480321.0
      May 18, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 258100803.0
      May 18, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $2.4M to $1.9M
      May 18, 2017 to Mar 30, 2018
    Signals
    2 dated events
    • Personal Financial Group reported RAUM $14.4M, down 96% from $398.1M (2018-12-18 to 2019-04-05)
      Apr 5, 2019 · RAUM change · derived
    • Personal Financial Group reported 0 state-registered advisory representatives, down from 14 (2018-12-18 to 2019-04-05)
      Apr 5, 2019 · Advisor headcount change · 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