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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SEC-registered adviser
P••••••••• F•••••••• A•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Dec 14, 2022 · 9 filings
SEC status approved since Jan 12, 2023
RAUM
$428M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
43%
$184M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$428M as of Feb 27, 2026
Feb 27, 2023$298M then
HNW client RAUM$147M as of Feb 27, 2026
Feb 27, 2023$56.2M then
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Feb 27, 20233 then
Employees (5.A)5 as of Feb 27, 2026
Feb 27, 20233 then
Private funds: no history
RAUM -21% over the last fiscal year+13% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $765,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $58.6M, 97 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$217M51%
- High-net-worth individuals$147M34%
- Individuals$37.3M8.7%
- Other investment advisers$27.2M6.4%
- Individual clients
- 117reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 559reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.6M for 97 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.43 fund_share=0.06 institutional_share=0.51 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• T••••• C••Chartered Financial Analyst | Overland Park, Ks | Apr 22, 2003 | 35 y | 0 |
| M••• J••••• D••••••••Chartered Financial Analyst | Prairie Village, Ks | Sep 3, 2008 | 32 y | 3 |
| S••••• T••••• C•• | Overland Park, Ks | Aug 1, 2019 | 14 y | 2 |
| E••• M•••••• L•••• | Overland Park, Ks | Sep 29, 2025 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S••••• T••••• C•• from P•••••• C•••••• M••••••••• L••Aug 1, 2019 · RIA to RIA
- M••• J••••• D•••••••• from V•• A••••••• S•••••••Sep 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• S•••••• T••••• · President/Ccocontrolsince 01/2003 · owns 75% or more
- D••••••••• M•••• J••••• · Managing Directorcontrolsince 09/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 27, 2026institutional share of RAUM of 51% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 17.0 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- discretionary share shiftChange between filings · filing Feb 27, 2026discretionary share of RAUM moved from 67.0% to 100.0% between the annual amendments of 2025-03-03 and 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 525 to 559Mar 3, 2025 to Feb 27, 2026
- Advisory employees · 3 to 4Mar 3, 2025 to Feb 27, 2026
- Charity clients · 7 to 11Mar 3, 2025 to Feb 27, 2026
- HNW clients · 51 to 58Mar 3, 2025 to Feb 27, 2026
- Individual clients · 121 to 117Mar 3, 2025 to Feb 27, 2026
- Assets in custody · $47.4M to $58.6MMar 3, 2025 to Feb 27, 2026
- Employees · 3 to 5Mar 3, 2025 to Feb 27, 2026
- State-registered IARs · 3 to 4Mar 3, 2025 to Feb 27, 2026
- Discretionary RAUM · $367M to $426MMar 3, 2025 to Feb 27, 2026
- HNW RAUM · $128M to $147MMar 3, 2025 to Feb 27, 2026
- Individual RAUM · $36.2M to $37.3MMar 3, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $178M to $2.1MMar 3, 2025 to Feb 27, 2026
- RAUM · $544M to $428MMar 3, 2025 to Feb 27, 2026
- Accounts · 360 to 525Oct 15, 2024 to Mar 3, 2025
- Charity clients · 6 to 7Oct 15, 2024 to Mar 3, 2025
- HNW clients · 24 to 51Oct 15, 2024 to Mar 3, 2025
- Individual clients · 99 to 121Oct 15, 2024 to Mar 3, 2025
- Assets in custody · $19.1M to $47.4MOct 15, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 0Oct 15, 2024 to Mar 3, 2025
- Discretionary RAUM · $279M to $367MOct 15, 2024 to Mar 3, 2025
- HNW RAUM · $54.8M to $128MOct 15, 2024 to Mar 3, 2025
- Individual RAUM · $29.2M to $36.2MOct 15, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $133M to $178MOct 15, 2024 to Mar 3, 2025
- RAUM · $412M to $544MOct 15, 2024 to Mar 3, 2025
- Accounts · 315 to 360Oct 15, 2023 to Feb 20, 2024
- HNW clients · 28 to 24Oct 15, 2023 to Feb 20, 2024
- Individual clients · 88 to 99Oct 15, 2023 to Feb 20, 2024
- Assets in custody · $15.7M to $19.1MOct 15, 2023 to Feb 20, 2024
- Discretionary RAUM · $247M to $279MOct 15, 2023 to Feb 20, 2024
- HNW RAUM · $56.2M to $54.8MOct 15, 2023 to Feb 20, 2024
- Individual RAUM · $23.9M to $29.2MOct 15, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $50.9M to $133MOct 15, 2023 to Feb 20, 2024
- RAUM · $298M to $412MOct 15, 2023 to Feb 20, 2024
- Discretionary RAUM · $96.6M to $247MDec 14, 2022 to Feb 27, 2023
- HNW RAUM · $66.7M to $56.2MDec 14, 2022 to Feb 27, 2023
- Individual RAUM · $18.3M to $23.9MDec 14, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $7.6M to $50.9MDec 14, 2022 to Feb 27, 2023
- RAUM · $104M to $298MDec 14, 2022 to Feb 27, 2023
- Accounts · 290 to 315Dec 14, 2022 to Feb 27, 2023
- Charity clients · unset to 6.0Dec 14, 2022 to Feb 27, 2023
Signals
4 dated events
- P••••••••• F•••••••• A•••••••• L•• reported RAUM $544.5M, up 32% from $412.2M (2024-10-15 to 2025-03-03)Mar 3, 2025 · RAUM change · derived
- P••••••••• F•••••••• A•••••••• L•• reported RAUM $412.2M, up 38% from $298.3M (2023-10-15 to 2024-02-20)Feb 20, 2024 · RAUM change · derived
- P••••••••• F•••••••• A•••••••• L•• reported RAUM $298.3M, up 186% from $104.1M (2022-12-14 to 2023-02-27)Feb 27, 2023 · RAUM change · derived
- P••••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 14, 2022 · First SEC registration · 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
- Business email
- info@pfa-llc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- stcoxjr@pfa-llc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- scox@pfa-llc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-711-3213reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-323-0535reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pfa-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-323-0535reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- pfa-llc.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pfa-llc.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026