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

I•••••••• A•••••••• L••

Former SEC-registered adviserCRD 133413SEC 801-110422IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 26, 2012 · 17 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2023
Mar 26, 2012$74.8M then
HNW client RAUM$158M as of Mar 28, 2022
Mar 29, 2018$72.2M then
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Mar 26, 20120 then
Employees (5.A)6 as of Mar 31, 2023
Mar 29, 20185 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• A••••••• R•••••• · President, Chief Compliance Officercontrol
      since 11/2004 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Overland Park, Ks000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 954 to 0
      Mar 28, 2022 to Mar 31, 2023
    • HNW clients · 102.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • Individual clients · 433.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • Pension plan clients · 7.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • HQ city · OVERLAND PARK to unset
      Mar 28, 2022 to Mar 31, 2023
    • HQ state · KS to unset
      Mar 28, 2022 to Mar 31, 2023
    • Discretionary RAUM · $257M to $0
      Mar 28, 2022 to Mar 31, 2023
    • HNW RAUM · 157615193.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • Individual RAUM · 96541425.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $21.8M to $0
      Mar 28, 2022 to Mar 31, 2023
    • Pension RAUM · 24289189.0 to unset
      Mar 28, 2022 to Mar 31, 2023
    • RAUM · $278M to $0
      Mar 28, 2022 to Mar 31, 2023
    • Accounts · 834 to 954
      Mar 26, 2021 to Mar 28, 2022
    • HNW clients · 100 to 102
      Mar 26, 2021 to Mar 28, 2022
    • Individual clients · 386 to 433
      Mar 26, 2021 to Mar 28, 2022
    • Pension plan clients · 6 to 7
      Mar 26, 2021 to Mar 28, 2022
    • Financial planning clients · 1-10 to 0
      Mar 26, 2021 to Mar 28, 2022
    • Discretionary RAUM · $175M to $257M
      Mar 26, 2021 to Mar 28, 2022
    • HNW RAUM · $99.6M to $158M
      Mar 26, 2021 to Mar 28, 2022
    • Individual RAUM · $74.9M to $96.5M
      Mar 26, 2021 to Mar 28, 2022
    • Non-discretionary RAUM · $21.2M to $21.8M
      Mar 26, 2021 to Mar 28, 2022
    • Pension RAUM · $21.5M to $24.3M
      Mar 26, 2021 to Mar 28, 2022
    • RAUM · $196M to $278M
      Mar 26, 2021 to Mar 28, 2022
    • Accounts · 784 to 834
      Jun 29, 2020 to Mar 26, 2021
    • HNW clients · 84 to 100
      Jun 29, 2020 to Mar 26, 2021
    • Individual clients · 359 to 386
      Jun 29, 2020 to Mar 26, 2021
    • Pension plan clients · 9 to 6
      Jun 29, 2020 to Mar 26, 2021
    • Discretionary RAUM · $145M to $175M
      Jun 29, 2020 to Mar 26, 2021
    • HNW RAUM · $77.4M to $99.6M
      Jun 29, 2020 to Mar 26, 2021
    • Individual RAUM · $68.9M to $74.9M
      Jun 29, 2020 to Mar 26, 2021
    • Non-discretionary RAUM · $20.0M to $21.2M
      Jun 29, 2020 to Mar 26, 2021
    • Pension RAUM · $18.9M to $21.5M
      Jun 29, 2020 to Mar 26, 2021
    • RAUM · $165M to $196M
      Jun 29, 2020 to Mar 26, 2021
    • Accounts · 731 to 784
      May 7, 2019 to Mar 30, 2020
    • HNW clients · 85 to 84
      May 7, 2019 to Mar 30, 2020
    • Individual clients · 322 to 359
      May 7, 2019 to Mar 30, 2020
    • Pension plan clients · 7 to 9
      May 7, 2019 to Mar 30, 2020
    • Other offices · 1 to 0
      May 7, 2019 to Mar 30, 2020
    • Discretionary RAUM · $124M to $145M
      May 7, 2019 to Mar 30, 2020
    • HNW RAUM · $69.1M to $77.4M
      May 7, 2019 to Mar 30, 2020
    Signals
    6 dated events
    • S•••• T••••• S•••••••• left I•••••••• A•••••••• L•• for M• W••••• A•••••••• L•• (registered 2023-02-22)
      Nov 7, 2023 · Advisor changed firm · fact
    • M•••••• P••• A••••• left I•••••••• A•••••••• L•• for M• W••••• A•••••••• L•• (registered 2023-02-22)
      Nov 7, 2023 · Advisor changed firm · fact
    • A•••••• R•••••• M•••••• left I•••••••• A•••••••• L•• for M• W••••• A•••••••• L•• (registered 2023-02-22)
      Nov 7, 2023 · Advisor changed firm · fact
    • I•••••••• A•••••••• L••'s advisors moved to M• W••••• A•••••••• L•• (Overland Park, KS): 3 of 3 registered, on the same day
      Nov 7, 2023 · Firm absorbed (people side) · derived
    • I•••••••• A•••••••• L•• reported RAUM $0, down 100% from $278.4M (2022-03-28 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • I•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 7, 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.
    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