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
C•••• A••••••• C•••
Legal name C•••• A••••••• C•••••••••
Latest filing Feb 26, 2026
First filing on the tape Feb 26, 2026 · 1 filings
RAUM
$70.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$70.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
- RAUM per advisor
- $10.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $383,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$54.6M77%
- High-net-worth individuals$16.3M23%
- Individual clients
- 178reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 185reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•• H••••• | Salina, Ks | Apr 9, 2007 | 44 y | 0 |
| T••••• A•••• C••••••• | Salina, Ks | May 18, 2010 | 44 y | 0 |
| P•••• J••••• M••••Chartered Financial Consultant | Overland Park, Ks | Sep 2, 2011 | 45 y | 2 |
| P••• A••• S•••• | Salina, Ks | May 14, 2015 | 48 y | 5 |
| D•••••• W•••• M•••••Certified Financial Planner | Lawrence, Ks | May 10, 2021 | 33 y | 2 |
| T••••• L••• F•••••• | Traverse City, Mi | Aug 17, 2021 | 22 y | 1 |
| R••••• L•• S•••• | Salina, Ks | Dec 1, 2025 | 46 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- T••••• A•••• S••••• to C••••••••• W•••••• L••Sep 23, 2025 · Other
- P•••• E•••••• L•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 31, 2022 · Other
- C••••••••• P••• S•••••• to P••••••••• B•••••••• S•••••••• I•••Mar 31, 2020 · Other
- J••• F•••••••• C••••••• to T• A••••••• L•••Dec 31, 2018 · Other
- M•••••• S•••• N••••• to R•••• F••• M••••••••• L••Aug 17, 2012 · Other
Joined, latest
- R••••• L•• S•••• from O•••• W•••••• I•••Dec 1, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- T••••• L••• F•••••• from J••• M••••• S••••••••• L••Aug 17, 2021 · Wirehouse to a state-registered adviser
- D•••••• W•••• M••••• from U••••• C•••••• M••••••••• O• K•••••• I•••May 10, 2021 · RIA to a state-registered adviser
- P••• A••• S•••• from I•• W••••• M••••••••• I•••May 14, 2015 · Other
- P•••• J••••• M•••• from W••• S••••• F•••••••• G••••• I••Sep 2, 2011 · Other
- M•••••• S•••• N••••• from I••••••••• A••••••• C•••Feb 10, 2011 · Other
- J••• F•••••••• C••••••• from U•• F•••••••• S••••••• I•••Oct 22, 2007 · Wirehouse to a state-registered adviser
- P•••• E•••••• L•••• from C••••••••• A•••••••Feb 15, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salina, Ks · principal | 6 | 1 | 1 | ||
| Traverse City, Mi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- T••••• A•••• S••••• left C•••• A••••••• C••• for C••••••••• W•••••• L•• (registered 2025-09-23)Sep 23, 2025 · Advisor changed firm · fact
- P•••• E•••••• L•••• left C•••• A••••••• C••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-01-03)Dec 31, 2022 · 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
- Principal office phone
- 785-827-7700reportedpublic record, Form ADV, Feb 26, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026