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
E•••••• W••••• M•••••••••
Legal name E•••••• W••••• M••••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Mar 23, 2012 · 15 filings
SEC status approved since Jan 2, 2015
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$237M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
2
1 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$237M as of Feb 11, 2026
Mar 23, 2012$71.5M then
HNW client RAUM$146M as of Feb 11, 2026
Mar 8, 2018$32.5M then
State-registered IARs (5.B.3)1 as of Feb 11, 2026
Mar 23, 20120 then
Employees (5.A)2 as of Feb 11, 2026
Feb 29, 20162 then
Private funds: no history
RAUM +29% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $670,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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$146M62%
- Individuals$91.4M38%
- Individual clients
- 73reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 354reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D•••• S••••••Certified Financial Planner, Chartered Financial Analyst | Leawood, Ks | Apr 13, 2005 | 28 y | 1 |
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
none on the tape
Joined, latest
- J••• D•••• S•••••• from A••••••• C•••••• I••••••••• M••••••••• I••Apr 13, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J•••• D•••• · President/Chief Compliance Officercontrolsince 12/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 77 to 354Feb 21, 2025 to Feb 11, 2026
- HNW clients · 12 to 18Feb 21, 2025 to Feb 11, 2026
- Individual clients · 66 to 73Feb 21, 2025 to Feb 11, 2026
- Discretionary RAUM · $184M to $237MFeb 21, 2025 to Feb 11, 2026
- HNW RAUM · $94.0M to $146MFeb 21, 2025 to Feb 11, 2026
- Individual RAUM · $90.1M to $91.4MFeb 21, 2025 to Feb 11, 2026
- RAUM · $184M to $237MFeb 21, 2025 to Feb 11, 2026
- Accounts · 75 to 77Mar 12, 2024 to Feb 21, 2025
- HNW clients · 9 to 12Mar 12, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 51-100Mar 12, 2024 to Feb 21, 2025
- Discretionary RAUM · $172M to $184MMar 12, 2024 to Feb 21, 2025
- HNW RAUM · $76.2M to $94.0MMar 12, 2024 to Feb 21, 2025
- Individual RAUM · $95.4M to $90.1MMar 12, 2024 to Feb 21, 2025
- RAUM · $172M to $184MMar 12, 2024 to Feb 21, 2025
- Accounts · 74 to 75Mar 21, 2023 to Mar 12, 2024
- HNW clients · 11 to 9Mar 21, 2023 to Mar 12, 2024
- Individual clients · 63 to 66Mar 21, 2023 to Mar 12, 2024
- Discretionary RAUM · $155M to $172MMar 21, 2023 to Mar 12, 2024
- HNW RAUM · $67.9M to $76.2MMar 21, 2023 to Mar 12, 2024
- Individual RAUM · $87.3M to $95.4MMar 21, 2023 to Mar 12, 2024
- RAUM · $155M to $172MMar 21, 2023 to Mar 12, 2024
- Accounts · 76 to 74Mar 22, 2022 to Mar 21, 2023
- Individual clients · 65 to 63Mar 22, 2022 to Mar 21, 2023
- Discretionary RAUM · $146M to $155MMar 22, 2022 to Mar 21, 2023
- HNW RAUM · $63.7M to $67.9MMar 22, 2022 to Mar 21, 2023
- Individual RAUM · $82.3M to $87.3MMar 22, 2022 to Mar 21, 2023
- RAUM · $146M to $155MMar 22, 2022 to Mar 21, 2023
- Accounts · 75 to 76Mar 30, 2021 to Mar 22, 2022
- Individual clients · 64 to 65Mar 30, 2021 to Mar 22, 2022
- Discretionary RAUM · $143M to $146MMar 30, 2021 to Mar 22, 2022
- HNW RAUM · $59.8M to $63.7MMar 30, 2021 to Mar 22, 2022
- Individual RAUM · $83.1M to $82.3MMar 30, 2021 to Mar 22, 2022
- RAUM · $143M to $146MMar 30, 2021 to Mar 22, 2022
- Accounts · 73 to 75Jun 10, 2020 to Mar 30, 2021
- HNW clients · 8 to 11Jun 10, 2020 to Mar 30, 2021
- Individual clients · 65 to 64Jun 10, 2020 to Mar 30, 2021
- Discretionary RAUM · $119M to $143MJun 10, 2020 to Mar 30, 2021
- HNW RAUM · $34.3M to $59.8MJun 10, 2020 to Mar 30, 2021
- Individual RAUM · $84.8M to $83.1MJun 10, 2020 to Mar 30, 2021
- RAUM · $119M to $143MJun 10, 2020 to Mar 30, 2021
Signals
1 dated events
- E•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Dec 4, 2014 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (913) 387-2017reportedpublic record, Form ADV, Feb 11, 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
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026