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

Lawing Financial Inc

Former SEC-registered adviserOverland Park, KansasCRD 117178SEC 801-66270IAPD
Latest filing Jun 27, 2017
First filing on the tape Dec 5, 2011 · 49 filings
RAUM
$3.1B
reported, Item 5.F
Discretionary
87%
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
125
75 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$3.0B as of Feb 7, 2017
Feb 9, 2012$757M then
HNW client RAUM: no history
State-registered IARs (5.B.3)72 as of Feb 7, 2017
Jan 24, 201361 then
Employees (5.A)121 as of Feb 7, 2017
Jan 24, 201390 then
Private funds: no history
RAUM +24% over the last fiscal year+25% a year over threeIARs 70 to 75
Practice profile
derived from the filing of Jun 27, 2017; every figure names its basis
RAUM per advisor
$41.8MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
6.3derived12 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+2.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
2,334reported
Financial planning clients
11-25reported
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
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
    • Lee Kerry Lawing · Presidentcontrol
      since 08/1996 · owns less than 5%
    • Franklin Andrew Stafford · Chief Operating Officercontrol
      since 01/2016 · owns less than 5%
    • Lee Kerry Lawing · Trusteecontrol
      since 11/2004 · owns F of Kerry L. Lawing Trust Dated November 18, 2004
    Entity owners
    • Kerry L. Lawing Trust Dated November 18, 2004 · Majority Shareholder
      direct · owns 75% or more
    • Kerry L. Lawing Trust Dated November 18, 2004 · Majority Shareholder
      indirect · owns 75% or more of Lawing Financial, Inc.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Boerne, TX
    • Brentwood, TN
    • Columbia, MO
    • Dallas, TX
    • Greenwood Village, CO
    • Hiawatha, IA
    • Little Rock, AR
    • Omaha, NE
    • Orland Park, IL
    • Springfield, MO
    • Wayzata, MN
    What changed
    consecutive filings, newest first
    • Insurance-licensed employees · 0 to 1
      May 3, 2017 to Jun 21, 2017
    • Accounts · 2,193 to 2,334
      Feb 7, 2017 to Apr 28, 2017
    • Advisory employees · 72 to 75
      Feb 7, 2017 to Apr 28, 2017
    • BD registered reps · 82 to 84
      Feb 7, 2017 to Apr 28, 2017
    • Employees · 121 to 125
      Feb 7, 2017 to Apr 28, 2017
    • State-registered IARs · 72 to 75
      Feb 7, 2017 to Apr 28, 2017
    • Discretionary RAUM · $2.6B to $2.7B
      Feb 7, 2017 to Apr 28, 2017
    • Non-discretionary RAUM · $386M to $404M
      Feb 7, 2017 to Apr 28, 2017
    • RAUM · $3.0B to $3.1B
      Feb 7, 2017 to Apr 28, 2017
    • Accounts · 2,119 to 2,193
      Oct 28, 2016 to Feb 7, 2017
    • Advisory employees · 73 to 72
      Oct 28, 2016 to Feb 7, 2017
    • BD registered reps · 83 to 82
      Oct 28, 2016 to Feb 7, 2017
    • Employees · 120 to 121
      Oct 28, 2016 to Feb 7, 2017
    • State-registered IARs · 73 to 72
      Oct 28, 2016 to Feb 7, 2017
    • Discretionary RAUM · $2.5B to $2.6B
      Oct 28, 2016 to Feb 7, 2017
    • Non-discretionary RAUM · $350M to $386M
      Oct 28, 2016 to Feb 7, 2017
    • RAUM · $2.9B to $3.0B
      Oct 28, 2016 to Feb 7, 2017
    • Accounts · 2,090 to 2,119
      Jul 28, 2016 to Oct 28, 2016
    • Advisory employees · 72 to 73
      Jul 28, 2016 to Oct 28, 2016
    • BD registered reps · 82 to 83
      Jul 28, 2016 to Oct 28, 2016
    • Employees · 115 to 120
      Jul 28, 2016 to Oct 28, 2016
    • State-registered IARs · 72 to 73
      Jul 28, 2016 to Oct 28, 2016
    • Discretionary RAUM · $2.4B to $2.5B
      Jul 28, 2016 to Oct 28, 2016
    • Non-discretionary RAUM · $351M to $350M
      Jul 28, 2016 to Oct 28, 2016
    • RAUM · $2.8B to $2.9B
      Jul 28, 2016 to Oct 28, 2016
    • Accounts · 2,075 to 2,090
      Jul 1, 2016 to Jul 28, 2016
    • Advisory employees · 70 to 72
      Jul 1, 2016 to Jul 28, 2016
    • Employees · 114 to 115
      Jul 1, 2016 to Jul 28, 2016
    • State-registered IARs · 70 to 72
      Jul 1, 2016 to Jul 28, 2016
    • Discretionary RAUM · $2.3B to $2.4B
      Jul 1, 2016 to Jul 28, 2016
    • Non-discretionary RAUM · $248M to $351M
      Jul 1, 2016 to Jul 28, 2016
    • RAUM · $2.6B to $2.8B
      Jul 1, 2016 to Jul 28, 2016
    • Accounts · 2,122 to 2,075
      Mar 3, 2016 to May 19, 2016
    • BD registered reps · 78 to 82
      Mar 3, 2016 to May 19, 2016
    • Employees · 108 to 114
      Mar 3, 2016 to May 19, 2016
    • Discretionary RAUM · $2.3B to $2.3B
      Mar 3, 2016 to May 19, 2016
    • Non-discretionary RAUM · $271M to $248M
      Mar 3, 2016 to May 19, 2016
    • RAUM · $2.5B to $2.6B
      Mar 3, 2016 to May 19, 2016
    • Accounts · 2,159 to 2,122
      Nov 18, 2015 to Mar 3, 2016
    • Employees · 107 to 108
      Nov 18, 2015 to Mar 3, 2016
    Signals
    No event on the tape.
    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