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

T•• M••••• F••• S••••

Former SEC-registered adviserOverland Park, KansasCRD 120225SEC 801-62170IAPD
Legal name T•• M••••• F••• S•••••••• L••••• L••
Latest filing Apr 1, 2015
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$642M
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
11
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$642M as of Mar 12, 2015
Mar 30, 2012$425M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 12, 2015
Mar 30, 20120 then
Employees (5.A)11 as of Mar 12, 2015
Mar 26, 201310 then
Private funds: no history
RAUM +9.6% over the last fiscal year+15% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Apr 1, 2015; every figure names its basis
RAUM per advisor
$107MderivedRAUM 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
$121,872derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
5,270reported
Financial planning clients
1-10reported
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
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
    • B••••••••• E•••••• R•••••• · Chief Operating Officercontrol
      since 09/2012 · owns less than 5%
    • B•••• A•••• S••••• · Chairmancontrol
      since 02/2012 · owns less than 5%
    • B•••••• C•••••••• M••••• · Chief Compliance Officercontrol
      since 01/2007 · owns less than 5%
    • B••••• J•••• B•••••• · Chief Executive Officercontrol
      since 02/2012 · owns less than 5%
    • S••••• R••••••• · Chief Financial Officercontrol
      since 09/2014 · owns less than 5%
    Entity owners
    • T••• H•••••••• L•• · Sole Member
      direct · owns 75% or more
    • K••••• C••• 7•• A••••••••• C••••••••• · Member
      indirect · owns 50% to 75% of K••••• C••• 7•• A••••••••• L••
    • K••••• C••• 7•• A••••••••• L•• · Member
      indirect · owns 75% or more of T••• H•••••••• L••
    • W•••••• P••••• P•••••• E••••• X• L••• · Shareholder
      indirect · owns 75% or more of K••••• C••• 7•• A••••••••• C•••••••••
    • W•••••• P••••• X• L••• · General Partner
      indirect · owns F of W•••••• P••••• P•••••• E••••• X• L•••
    Related persons
    Schedule D 7.A
    Advisers that list T•• M••••• F••• S•••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Chesterfield, MO
    • Shiloh, IL
    • St. L••••, MO
    What changed
    consecutive filings, newest first
    • Accounts · 5,014 to 5,270
      Jan 15, 2015 to Mar 12, 2015
    • Advisory employees · 5 to 6
      Jan 15, 2015 to Mar 12, 2015
    • Employees · 10 to 11
      Jan 15, 2015 to Mar 12, 2015
    • State-registered IARs · 5 to 6
      Jan 15, 2015 to Mar 12, 2015
    • Discretionary RAUM · $586M to $642M
      Jan 15, 2015 to Mar 12, 2015
    • RAUM · $586M to $642M
      Jan 15, 2015 to Mar 12, 2015
    • Accounts · 4,925 to 5,014
      Mar 26, 2013 to Mar 14, 2014
    • Discretionary RAUM · $481M to $586M
      Mar 26, 2013 to Mar 14, 2014
    • RAUM · $481M to $586M
      Mar 26, 2013 to Mar 14, 2014
    • Accounts · 4,853 to 4,925
      Feb 6, 2013 to Mar 26, 2013
    • Employees · 11 to 10
      Feb 6, 2013 to Mar 26, 2013
    • Discretionary RAUM · $425M to $481M
      Feb 6, 2013 to Mar 26, 2013
    • RAUM · $425M to $481M
      Feb 6, 2013 to Mar 26, 2013
    • Advisory employees · unset to 5.0
      Oct 15, 2012 to Jan 2, 2013
    • Employees · unset to 11.0
      Oct 15, 2012 to Jan 2, 2013
    • State-registered IARs · 0 to 5
      Oct 15, 2012 to Jan 2, 2013
    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