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.
SEC-registered adviser
Mader & Shannon Wealth Management
Legal name Mader & Shannon Wealth Management, Inc.
Latest filing Aug 17, 2026
First filing on the tape Nov 28, 2011 · 29 filings
SEC status approved since Jan 12, 2007
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$242M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$33.7M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$269M as of Aug 17, 2026
Mar 19, 2012$101M then
HNW client RAUM$180M as of Aug 17, 2026
Mar 1, 2018$64.3M then
State-registered IARs (5.B.3)9 as of Aug 17, 2026
Mar 7, 20135 then
Employees (5.A)10 as of Aug 17, 2026
Mar 7, 20139 then
Private funds: no history
RAUM +22% over the last fiscal year+7.8% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $33.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $312,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$180M67%
- Individuals$61.7M23%
- Pension and profit-sharing plans$16.2M6.0%
- Other investment advisers$7.5M2.8%
- Corporations and businesses$2.9M1.1%
- Charitable organizations$1.1M0.4%
- Individual clients
- 255reported
- HNW clients
- 84reported
- Pension plan clients
- 16reported
- Charitable clients
- n/areported
- Accounts
- 863reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.03 institutional_share=0.06 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bret A. GuillaumeCertified Financial Planner | Kansas City, Mo | Mar 30, 2005 | 22 y | 1 |
| James W MaderChartered Financial Consultant | Kansas City, Mo | Apr 21, 2005 | 31 y | 1 |
| Michael Lynn Batsell | Leander, Tx | Jan 20, 2010 | 25 y | 0 |
| Daniel Bruce Kennedy | Kansas City, Mo | Apr 30, 2010 | 16 y | 0 |
| Matthew William Stevens | Kansas City, Mo | Feb 13, 2014 | 45 y | 1 |
| John Russell Martin | Kansas City, Mo | Dec 23, 2014 | 28 y | 0 |
| Kyle Andrew Sanders | Kansas City, Mo | Oct 27, 2015 | 15 y | 0 |
| Leann Knuth | Colorado Springs, Co | Jul 16, 2024 | 15 y | 1 |
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 headcount2 left over 36 months
Left, latest
- Austin Grant Harrison to Convergence FinancialJul 1, 2024 · RIA to RIA
- Taylor Alexandra Graham to Creative PlanningJun 17, 2024 · RIA to RIA
- Marcus Wayne Gibbens to Danda Trouve Investment Management, Inc.Mar 4, 2019 · RIA to RIA
Joined, latest
- Leann Knuth from Alexander Labrunerie & Co., Inc.Jul 16, 2024 · RIA to RIA
- Matthew William Stevens from First American Financial Advisors, Inc.Feb 13, 2014 · Other
- James W Mader from First American Financial Advisors, Inc.Apr 21, 2005 · Other
- Bret A. Guillaume from First American Financial Advisors, Inc.Mar 30, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A. Bret Guillaume · President And Chief Compliance Officercontrolsince 04/2005 · owns 75% or more
- W James Mader · Chairman And Ceocontrolsince 01/2005 · owns less than 5%
- Andrew Kyle Sanders · Portfolio Managercontrolsince 01/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- Mader Financial Group, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kansas City, Mo · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 23, 2026HNW share of RAUM moved from 33.0% to 67.0% between the annual amendments of 2025-02-24 and 2026-02-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Corporate clients · 20 to 8Feb 24, 2025 to Feb 23, 2026
- HNW clients · 35 to 84Feb 24, 2025 to Feb 23, 2026
- Individual clients · 310 to 255Feb 24, 2025 to Feb 23, 2026
- Discretionary RAUM · $221M to $269MFeb 24, 2025 to Feb 23, 2026
- HNW RAUM · $73.5M to $180MFeb 24, 2025 to Feb 23, 2026
- Individual RAUM · $112M to $61.7MFeb 24, 2025 to Feb 23, 2026
- Pension RAUM · $17.4M to $16.2MFeb 24, 2025 to Feb 23, 2026
- RAUM · $221M to $269MFeb 24, 2025 to Feb 23, 2026
- Accounts · 394 to 863Mar 8, 2024 to Feb 24, 2025
- Advisory employees · 10 to 9Mar 8, 2024 to Feb 24, 2025
- Corporate clients · 15 to 20Mar 8, 2024 to Feb 24, 2025
- HNW clients · 78 to 35Mar 8, 2024 to Feb 24, 2025
- Individual clients · 277 to 310Mar 8, 2024 to Feb 24, 2025
- Pension plan clients · 20 to 16Mar 8, 2024 to Feb 24, 2025
- Financial planning clients · 11-25 to 11-25Mar 8, 2024 to Feb 24, 2025
- State-registered IARs · 10 to 9Mar 8, 2024 to Feb 24, 2025
- Discretionary RAUM · $229M to $221MMar 8, 2024 to Feb 24, 2025
- HNW RAUM · $125M to $73.5MMar 8, 2024 to Feb 24, 2025
- Individual RAUM · $58.3M to $112MMar 8, 2024 to Feb 24, 2025
- Pension RAUM · $28.1M to $17.4MMar 8, 2024 to Feb 24, 2025
- RAUM · $229M to $221MMar 8, 2024 to Feb 24, 2025
- Accounts · 392 to 394Feb 23, 2023 to Mar 8, 2024
- Advisory employees · 11 to 10Feb 23, 2023 to Mar 8, 2024
- Corporate clients · 16 to 15Feb 23, 2023 to Mar 8, 2024
- HNW clients · 59 to 78Feb 23, 2023 to Mar 8, 2024
- Individual clients · 295 to 277Feb 23, 2023 to Mar 8, 2024
- Pension plan clients · 18 to 20Feb 23, 2023 to Mar 8, 2024
- Employees · 11 to 10Feb 23, 2023 to Mar 8, 2024
- State-registered IARs · 11 to 10Feb 23, 2023 to Mar 8, 2024
- Other offices · 3 to 2Feb 23, 2023 to Mar 8, 2024
- Discretionary RAUM · $215M to $229MFeb 23, 2023 to Mar 8, 2024
- HNW RAUM · $118M to $125MFeb 23, 2023 to Mar 8, 2024
- Individual RAUM · $60.5M to $58.3MFeb 23, 2023 to Mar 8, 2024
- Pension RAUM · $24.6M to $28.1MFeb 23, 2023 to Mar 8, 2024
- RAUM · $215M to $229MFeb 23, 2023 to Mar 8, 2024
- Accounts · 394 to 392Mar 10, 2022 to Feb 23, 2023
- Corporate clients · 10 to 16Mar 10, 2022 to Feb 23, 2023
- HNW clients · 58 to 59Mar 10, 2022 to Feb 23, 2023
- Individual clients · 301 to 295Mar 10, 2022 to Feb 23, 2023
- Pension plan clients · 20 to 18Mar 10, 2022 to Feb 23, 2023
Signals
2 dated events
- Austin Grant Harrison left Mader & Shannon Wealth Management for Convergence Financial (registered 2024-07-05)Jul 1, 2024 · Advisor changed firm · fact
- Taylor Alexandra Graham left Mader & Shannon Wealth Management for Creative Planning (registered 2024-06-24)Jun 17, 2024 · 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
- Firm profile
- linkedin.com/company/mader-&-shannon-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MADERSHANNON.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 816-751-0585reportedpublic record, Form ADV, Aug 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026