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•••••• P•••••••• M••••••••• L•••••
Latest filing Mar 25, 2024
First filing on the tape Mar 28, 2012 · 12 filings
SEC status approved since Aug 30, 2021
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$175M as of Mar 25, 2024
Mar 28, 2012$48.4M then
HNW client RAUM$110M as of Mar 25, 2024
Mar 24, 2022$92.1M then
State-registered IARs (5.B.3)3 as of Mar 25, 2024
Mar 24, 20223 then
Employees (5.A)5 as of Mar 25, 2024
Mar 24, 20225 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $547,463derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M63%
- Individuals$51.2M29%
- Pension and profit-sharing plans$13.4M7.7%
- Charitable organizations$103,2190.1%
- Individual clients
- 244reported
- HNW clients
- 68reported
- Pension plan clients
- 6reported
- Charitable clients
- 2reported
- Accounts
- 320reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- J•••• D••• R••• to F••••••Feb 28, 2025 · RIA to RIA
- J••• P•••••• O••••••••• to C••••••••• P•••••••• M•••••••••Jan 3, 2025 · RIA to RIA
- M••••• M•••••••• to C••••••••• P•••••••• M•••••••••Dec 3, 2024 · RIA to RIA
- J•••• D•••••• to C••••••••• P•••••••• M•••••••••Dec 3, 2024 · RIA to RIA
- J••••• A••• V•••• to O• I••••••••• M••••••••• C•Mar 5, 2008 · Other
- N••••• L•• R•••••• to B••••••• R•••••• • U•••• F•••••••• S••••••• L••Nov 29, 2007 · Other
Joined, latest
- J•••• D•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 2, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• P•••••••• M•••••••••Dec 3, 2024 · Topeka, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• J•••• P•••••• · P•••••••• Manager And Ccocontrolsince 01/2010 · owns less than 5%
- R•••• J••••• D••• · P•••••••• Managercontrolsince 09/2005 · owns less than 5%
- O••••••••• J•••• P•••••• · Ownercontrolsince 01/2011 · owns 75% or more of O••••••• L••
- R•••• J••••• D••• · Ownercontrolsince 01/2011 · owns 75% or more of R••••• 5• L••
Entity owners
- O••••••• L•• · Memberdirect · owns 50% to 75%
- R••••• 5• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••• P•••••••• M••••••••• L••••• as a related person
- 332929 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks | 0 | 0 | 0 | ||
| Topeka, Ks · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Overland Park, KS2 employees
What changed
consecutive filings, newest first
- Accounts · 306 to 320Mar 14, 2023 to Mar 25, 2024
- HNW clients · 56 to 68Mar 14, 2023 to Mar 25, 2024
- Individual clients · 240 to 244Mar 14, 2023 to Mar 25, 2024
- Pension plan clients · 8 to 6Mar 14, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 11-25Mar 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $145M to $175MMar 14, 2023 to Mar 25, 2024
- HNW RAUM · $83.5M to $110MMar 14, 2023 to Mar 25, 2024
- Individual RAUM · $48.6M to $51.2MMar 14, 2023 to Mar 25, 2024
- Pension RAUM · $12.7M to $13.4MMar 14, 2023 to Mar 25, 2024
- RAUM · $145M to $175MMar 14, 2023 to Mar 25, 2024
- Accounts · 299 to 306Mar 24, 2022 to Feb 27, 2023
- HNW clients · 57 to 56Mar 24, 2022 to Feb 27, 2023
- Individual clients · 232 to 240Mar 24, 2022 to Feb 27, 2023
- Discretionary RAUM · $151M to $145MMar 24, 2022 to Feb 27, 2023
- HNW RAUM · $92.1M to $83.5MMar 24, 2022 to Feb 27, 2023
- Individual RAUM · $45.1M to $48.6MMar 24, 2022 to Feb 27, 2023
- Pension RAUM · $13.4M to $12.7MMar 24, 2022 to Feb 27, 2023
- RAUM · $151M to $145MMar 24, 2022 to Feb 27, 2023
- Accounts · 267 to 299Aug 26, 2021 to Mar 24, 2022
- Charity clients · unset to 2.0Aug 26, 2021 to Mar 24, 2022
- HNW clients · 40 to 57Aug 26, 2021 to Mar 24, 2022
- Individual clients · 217 to 232Aug 26, 2021 to Mar 24, 2022
- Employees · 4 to 5Aug 26, 2021 to Mar 24, 2022
- Discretionary RAUM · $122M to $151MAug 26, 2021 to Mar 24, 2022
- HNW RAUM · $68.0M to $92.1MAug 26, 2021 to Mar 24, 2022
- Individual RAUM · $42.1M to $45.1MAug 26, 2021 to Mar 24, 2022
- Pension RAUM · $11.5M to $13.4MAug 26, 2021 to Mar 24, 2022
- RAUM · $122M to $151MAug 26, 2021 to Mar 24, 2022
- Accounts · 431 to 267May 17, 2012 to Jun 1, 2021
- Advisory employees · unset to 3.0May 17, 2012 to Jun 1, 2021
- Advisory activities · 3 to 4May 17, 2012 to Jun 1, 2021
- BD registered reps · unset to 2.0May 17, 2012 to Jun 1, 2021
- Corporate clients · unset to 0.0May 17, 2012 to Jun 1, 2021
- HNW clients · unset to 40.0May 17, 2012 to Jun 1, 2021
- Individual clients · unset to 217.0May 17, 2012 to Jun 1, 2021
- Pension plan clients · unset to 8.0May 17, 2012 to Jun 1, 2021
- Pooled vehicle clients · unset to 0.0May 17, 2012 to Jun 1, 2021
- Employees · unset to 4.0May 17, 2012 to Jun 1, 2021
- Financial planning clients · unset to 1-10May 17, 2012 to Jun 1, 2021
- State-registered IARs · unset to 3.0May 17, 2012 to Jun 1, 2021
Signals
8 dated events
- C•••••• P•••••••• M••••••••• L••••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $175.2M)Mar 6, 2025 · Left the SEC roster · derived
- J•••• D••• R••• left C•••••• P•••••••• M••••••••• L••••• for Farther (registered 2024-10-11)Feb 28, 2025 · Advisor changed firm · fact
- J••• P•••••• O••••••••• left C•••••• P•••••••• M••••••••• L••••• for C••••••••• P•••••••• M••••••••• (registered 2024-11-21)Jan 3, 2025 · Advisor changed firm · fact
- M••••• M•••••••• left C•••••• P•••••••• M••••••••• L••••• for C••••••••• P•••••••• M••••••••• (registered 2025-01-13)Dec 3, 2024 · Advisor changed firm · fact
- J•••• D•••••• left C•••••• P•••••••• M••••••••• L••••• for C••••••••• P•••••••• M••••••••• (registered 2025-01-13)Dec 3, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••• P•••••••• M••••••••• L••••• (Topeka, KS) for C••••••••• P•••••••• M••••••••• on the same dayDec 3, 2024 · Team lift-out · derived
- Alan Todd Reeves (Chief Compliance Officer / P•••••••• Manager) no longer on Schedule A of C•••••• P•••••••• M••••••••• L••••• (listed 2012-05-17, absent 2021-06-01)Jun 1, 2021 · Control person left · inference
- C•••••• P•••••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Jun 1, 2021 · 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.
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