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
S•••• S••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape May 3, 2017 · 15 filings
SEC status approved since May 19, 2017
RAUM
$285M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$285M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$31.6M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$285M as of Mar 12, 2026
Mar 20, 2018$134M then
HNW client RAUM$266M as of Mar 12, 2026
Mar 20, 2018$98.4M then
State-registered IARs (5.B.3)8 as of Mar 12, 2026
Mar 20, 20185 then
Employees (5.A)11 as of Mar 12, 2026
Mar 20, 20186 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $31.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $261,358derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $277M, 190 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M93%
- Individuals$18.9M6.6%
- Individual clients
- 61reported
- HNW clients
- 129reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,089reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $277M for 190 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• S•••••••Certified Financial Planner | Overland Park, Ks | Jan 27, 2004 | 26 y | 1 |
| A•••• S•• L•••••• | Overland Park, Ks | Mar 13, 2009 | 18 y | 0 |
| J••• V••••• R•••••Certified Financial Planner | Overland Park, Ks | Nov 5, 2013 | 13 y | 0 |
| J••••••• D•••• H•••••••Certified Financial Planner | Overland Park, Ks | Feb 18, 2015 | 11 y | 0 |
| D•••• R• H•••••• | Overland Park, Ks | Sep 2, 2015 | 11 y | 0 |
| J••••• R•••••• S••••••••Certified Financial Planner | Overland Park, Ks | Jul 16, 2020 | 13 y | 0 |
| B••••••• L•• B••••• | Lincoln, Ne | Jul 21, 2021 | 12 y | 1 |
| K•••••• K•• S••••••••Certified Financial Planner | Overland Park, Ks | May 13, 2025 | 15 y | 5 |
| J••••• A••• S••••Certified Financial Planner | Overland Park, Ks | May 20, 2026 | 16 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
- J•• M•••••• F•••• to K••• W••••• A•••••••May 27, 2020 · RIA to RIA
- D••••• S•••• R••••• to C••••••• P•••••••Nov 6, 2017 · Other
- T•••• J•••• L••••• to T••••• F•••••••• G•••••••• L••Jan 7, 2015 · Other
- D••••• W•••••• W•••• to U•• F•••••••• S•••••••• I•••Jun 30, 2014 · Other
- B•••• H•••••• to A••••••• C•••••• A••••••• S•••••••• I•••Feb 1, 2010 · Other
- J••• P••• C•••••• to C•••••• W••••• M••••••••• L••Mar 9, 2009 · Other
Joined, latest
- K•••••• K•• S•••••••• from M•••••• F•••••••• P•••••••• I•••May 13, 2025 · Other
- B••••••• L•• B••••• from W••••• M•••••••••Jul 21, 2021 · Other
- D••••• S•••• R••••• from C••••• A••••••• L••Jun 14, 2017 · Other
- D••••• W•••••• W•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 20, 2010 · Other
- B•••• H•••••• from S•••••••• A••••••• L••Mar 6, 2009 · Other
- J••• P••• C•••••• from S••••••••• L••Nov 15, 2007 · Other
- M•••••• J••••• S••••••• from A••••••••• F•••••••• S•••••••• L••Jan 27, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••••••• D•••• · Membercontrolsince 01/2019 · owns 25% to 50%
- S•••••••• M••••••• J••••• · Member & Chief Compliance Officercontrolsince 11/2003 · owns 75% or more
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 | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,069 to 1,089Apr 29, 2025 to Mar 12, 2026
- HNW clients · 83 to 129Apr 29, 2025 to Mar 12, 2026
- Individual clients · 107 to 61Apr 29, 2025 to Mar 12, 2026
- Assets in custody · $232M to $277MApr 29, 2025 to Mar 12, 2026
- Employees · 9 to 11Apr 29, 2025 to Mar 12, 2026
- State-registered IARs · 7 to 8Apr 29, 2025 to Mar 12, 2026
- Discretionary RAUM · $203M to $233MApr 29, 2025 to Mar 12, 2026
- HNW RAUM · $193M to $266MApr 29, 2025 to Mar 12, 2026
- Individual RAUM · $51.0M to $18.9MApr 29, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $40.7M to $51.7MApr 29, 2025 to Mar 12, 2026
- RAUM · $244M to $285MApr 29, 2025 to Mar 12, 2026
- Accounts · 966 to 1,069Mar 12, 2024 to Apr 29, 2025
- HNW clients · 109 to 83Mar 12, 2024 to Apr 29, 2025
- Individual clients · 63 to 107Mar 12, 2024 to Apr 29, 2025
- Assets in custody · $204M to $232MMar 12, 2024 to Apr 29, 2025
- Financial planning clients · 101-250 to 101-250Mar 12, 2024 to Apr 29, 2025
- Discretionary RAUM · $193M to $203MMar 12, 2024 to Apr 29, 2025
- HNW RAUM · $195M to $193MMar 12, 2024 to Apr 29, 2025
- Individual RAUM · $21.9M to $51.0MMar 12, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $24.5M to $40.7MMar 12, 2024 to Apr 29, 2025
- Pension RAUM · unset to 0.0Mar 12, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 12, 2024 to Apr 29, 2025
- RAUM · $217M to $244MMar 12, 2024 to Apr 29, 2025
- Accounts · 904 to 966Oct 5, 2023 to Mar 12, 2024
- HNW clients · 99 to 109Oct 5, 2023 to Mar 12, 2024
- Individual clients · 69 to 63Oct 5, 2023 to Mar 12, 2024
- Assets in custody · $165M to $204MOct 5, 2023 to Mar 12, 2024
- Employees · 8 to 9Oct 5, 2023 to Mar 12, 2024
- State-registered IARs · 8 to 7Oct 5, 2023 to Mar 12, 2024
- Discretionary RAUM · $162M to $193MOct 5, 2023 to Mar 12, 2024
- HNW RAUM · $165M to $195MOct 5, 2023 to Mar 12, 2024
- Individual RAUM · $24.2M to $21.9MOct 5, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $26.6M to $24.5MOct 5, 2023 to Mar 12, 2024
- RAUM · $189M to $217MOct 5, 2023 to Mar 12, 2024
- Accounts · 857 to 904Jul 21, 2022 to Mar 21, 2023
- Individual clients · 57 to 69Jul 21, 2022 to Mar 21, 2023
- Assets in custody · $188M to $165MJul 21, 2022 to Mar 21, 2023
- Discretionary RAUM · $171M to $162MJul 21, 2022 to Mar 21, 2023
- HNW RAUM · $184M to $165MJul 21, 2022 to Mar 21, 2023
- Individual RAUM · $21.3M to $24.2MJul 21, 2022 to Mar 21, 2023
Signals
2 dated events
- David Jonathan Harrison (Member) appeared on Schedule A of S•••• S••••••••• L••Mar 14, 2019 · Control person joined · fact
- S•••• S••••••••• L•• filed its initial SEC registration (Form ADV)May 3, 2017 · 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
- 913-317-6000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••-S•••••••••-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-317-6000reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $31.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026