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
Etf Portfolio Partners, Inc.
Latest filing Jan 23, 2026
First filing on the tape Nov 17, 2011 · 23 filings
SEC status approved since Feb 5, 2015
RAUM
$431M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$420M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$431M as of Jan 23, 2026
Feb 24, 2012$75.7M then
HNW client RAUM$322M as of Jan 23, 2026
Jan 10, 2018$107M then
State-registered IARs (5.B.3)4 as of Jan 23, 2026
Feb 24, 20120 then
Employees (5.A)8 as of Jan 23, 2026
Jan 26, 20165 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jan 23, 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
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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)
- 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$322M75%
- Individuals$98.6M23%
- Corporations and businesses$7.3M1.7%
- Charitable organizations$3.5M0.8%
- Individual clients
- 322reported
- HNW clients
- 107reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 429reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| Richard Dean Romey | Leawood, Ks | Apr 16, 2004 | 41 y | 2 |
| Nicholas Montague RomeyChartered Financial Analyst | Leawood, Ks | Aug 12, 2019 | 10 y | 0 |
| William Charles Romey | Leawood, Ks | Sep 28, 2021 | 13 y | 0 |
| Courtney Nichole Hicks | Leawood, Ks | Apr 16, 2025 | 18 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
- William Edward Koehler to Tower Wealth ManagersJan 23, 2012 · Other
Joined, latest
- Richard Dean Romey from Wells Fargo AdvisorsApr 16, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Donna Deborah Romey · Vice President, Secretarycontrolsince 08/2003 · owns 25% to 50%
- Dean Richard Romey · President, Chief Compliance Officercontrolsince 08/2003 · owns 25% to 50%
Entity owners
- Jeffrey Lewis Schlachter Trust · Shareholderdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Leawood, Ks · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Butler, MO3 employees
What changed
consecutive filings, newest first
- Accounts · 416 to 429Oct 14, 2025 to Jan 23, 2026
- Charity clients · 5 to 6Oct 14, 2025 to Jan 23, 2026
- Corporate clients · 6 to 8Oct 14, 2025 to Jan 23, 2026
- HNW clients · 96 to 107Oct 14, 2025 to Jan 23, 2026
- Individual clients · 304 to 322Oct 14, 2025 to Jan 23, 2026
- Financial planning clients · 51-100 to 101-250Oct 14, 2025 to Jan 23, 2026
- Discretionary RAUM · $368M to $431MOct 14, 2025 to Jan 23, 2026
- HNW RAUM · $281M to $322MOct 14, 2025 to Jan 23, 2026
- Individual RAUM · $77.2M to $98.6MOct 14, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $1.4M to $399,634Oct 14, 2025 to Jan 23, 2026
- RAUM · $369M to $431MOct 14, 2025 to Jan 23, 2026
- Advisory employees · 3 to 4Jul 17, 2025 to Oct 14, 2025
- Employees · 6 to 8Jul 17, 2025 to Oct 14, 2025
- State-registered IARs · 3 to 4Jul 17, 2025 to Oct 14, 2025
- Financial planning clients · 51-100 to 51-100Jun 11, 2025 to Jul 17, 2025
- Accounts · 395 to 416Nov 8, 2024 to Feb 24, 2025
- Corporate clients · 5 to 6Nov 8, 2024 to Feb 24, 2025
- HNW clients · 83 to 96Nov 8, 2024 to Feb 24, 2025
- Individual clients · 302 to 304Nov 8, 2024 to Feb 24, 2025
- Financial planning clients · 26-50 to 51-100Nov 8, 2024 to Feb 24, 2025
- Discretionary RAUM · $325M to $368MNov 8, 2024 to Feb 24, 2025
- HNW RAUM · $236M to $281MNov 8, 2024 to Feb 24, 2025
- Individual RAUM · $80.0M to $77.2MNov 8, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $1.0M to $1.4MNov 8, 2024 to Feb 24, 2025
- RAUM · $326M to $369MNov 8, 2024 to Feb 24, 2025
- Accounts · 380 to 395Feb 15, 2023 to Jan 31, 2024
- Charity clients · unset to 5.0Feb 15, 2023 to Jan 31, 2024
- HNW clients · 69 to 83Feb 15, 2023 to Jan 31, 2024
- Individual clients · 306 to 302Feb 15, 2023 to Jan 31, 2024
- Financial planning clients · 11-25 to 26-50Feb 15, 2023 to Jan 31, 2024
- Discretionary RAUM · $270M to $325MFeb 15, 2023 to Jan 31, 2024
- HNW RAUM · $188M to $236MFeb 15, 2023 to Jan 31, 2024
- Individual RAUM · $75.1M to $80.0MFeb 15, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $1.1M to $1.0MFeb 15, 2023 to Jan 31, 2024
- RAUM · $271M to $326MFeb 15, 2023 to Jan 31, 2024
- Accounts · 379 to 380Dec 6, 2022 to Feb 15, 2023
- HNW clients · 66 to 69Dec 6, 2022 to Feb 15, 2023
- Individual clients · 301 to 306Dec 6, 2022 to Feb 15, 2023
- Discretionary RAUM · $273M to $270MDec 6, 2022 to Feb 15, 2023
- HNW RAUM · $189M to $188MDec 6, 2022 to Feb 15, 2023
Signals
2 dated events
- Lewis Jeffrey Schlachter (Shareholder Owner) no longer on Schedule A of Etf Portfolio Partners, Inc. (listed 2019-12-20, absent 2020-01-27)Jan 27, 2020 · Control person left · inference
- Etf Portfolio Partners, Inc. filed its initial SEC registration (Form ADV)Jan 30, 2015 · 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 phone
- 913-851-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/etf-portfolio-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ETFPP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-851-1100reportedpublic record, Form ADV, Jan 23, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026