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•••••• F••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 2, 2012 · 22 filings
SEC status approved since Apr 15, 2005
RAUM
$611M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
58%
$355M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$306M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$611M as of Feb 9, 2026
Mar 2, 2012$158M then
HNW client RAUM$304M as of Feb 9, 2026
Jan 25, 2018$129M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Feb 26, 20130 then
Employees (5.A)4 as of Feb 9, 2026
Feb 26, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $306MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $937,815derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $174M, 130 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$304M50%
- Pension and profit-sharing plans$257M42%
- Individuals$50.9M8.3%
- Individual clients
- 126reported
- HNW clients
- 92reported
- Pension plan clients
- 47reported
- Charitable clients
- 0reported
- Accounts
- 652reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $174M for 130 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• T••••• S••••••Certified Financial Planner | Overland Park, Ks | Sep 26, 2014 | 18 y | 1 |
| G•••• G••••• S••••••Certified Financial Planner | Overland Park, Ks | Jun 17, 2021 | 10 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
- A•• R•••• W•••• to P•••••• R•••• A•••• M••••••••• L••Oct 13, 2017 · Other
Joined, latest
- C••••••••• T••••• S•••••• from F•••• N••••••• C•••••• M••••••• I•••Sep 26, 2014 · Other
- A•• R•••• W•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• G•••••• C•••• · Presidentcontrolsince 08/1997 · owns 75% or more
- S••••••• G••••• G••••• · Vice President, Secretary And Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- S••••••• R••••• L••• · Directorcontrolsince 11/2023 · owns less than 5%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 653 to 652Jan 14, 2025 to Feb 9, 2026
- HNW clients · 89 to 92Jan 14, 2025 to Feb 9, 2026
- Individual clients · 125 to 126Jan 14, 2025 to Feb 9, 2026
- Pension plan clients · 43 to 47Jan 14, 2025 to Feb 9, 2026
- Assets in custody · $154M to $174MJan 14, 2025 to Feb 9, 2026
- Discretionary RAUM · $308M to $355MJan 14, 2025 to Feb 9, 2026
- HNW RAUM · $262M to $304MJan 14, 2025 to Feb 9, 2026
- Individual RAUM · $49.5M to $50.9MJan 14, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $229M to $257MJan 14, 2025 to Feb 9, 2026
- Pension RAUM · $226M to $257MJan 14, 2025 to Feb 9, 2026
- RAUM · $537M to $611MJan 14, 2025 to Feb 9, 2026
- Accounts · 677 to 653Mar 19, 2024 to Jan 14, 2025
- Advisory employees · 4 to 3Mar 19, 2024 to Jan 14, 2025
- HNW clients · 85 to 89Mar 19, 2024 to Jan 14, 2025
- Individual clients · 137 to 125Mar 19, 2024 to Jan 14, 2025
- Pension plan clients · 45 to 43Mar 19, 2024 to Jan 14, 2025
- Assets in custody · $134M to $154MMar 19, 2024 to Jan 14, 2025
- Employees · 6 to 4Mar 19, 2024 to Jan 14, 2025
- Financial planning clients · 51-100 to 51-100Mar 19, 2024 to Jan 14, 2025
- State-registered IARs · 3 to 2Mar 19, 2024 to Jan 14, 2025
- Discretionary RAUM · $289M to $308MMar 19, 2024 to Jan 14, 2025
- HNW RAUM · $236M to $262MMar 19, 2024 to Jan 14, 2025
- Individual RAUM · $56.4M to $49.5MMar 19, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $206M to $229MMar 19, 2024 to Jan 14, 2025
- Pension RAUM · $202M to $226MMar 19, 2024 to Jan 14, 2025
- RAUM · $495M to $537MMar 19, 2024 to Jan 14, 2025
- Accounts · 658 to 677Jan 5, 2024 to Mar 19, 2024
- HNW clients · 71 to 85Jan 5, 2024 to Mar 19, 2024
- Individual clients · 136 to 137Jan 5, 2024 to Mar 19, 2024
- Pension plan clients · 42 to 45Jan 5, 2024 to Mar 19, 2024
- Assets in custody · $247M to $134MJan 5, 2024 to Mar 19, 2024
- Employees · 5 to 6Jan 5, 2024 to Mar 19, 2024
- Financial planning clients · 26-50 to 51-100Jan 5, 2024 to Mar 19, 2024
- Discretionary RAUM · $247M to $289MJan 5, 2024 to Mar 19, 2024
- HNW RAUM · $192M to $236MJan 5, 2024 to Mar 19, 2024
- Individual RAUM · $58.8M to $56.4MJan 5, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $182M to $206MJan 5, 2024 to Mar 19, 2024
- Pension RAUM · $178M to $202MJan 5, 2024 to Mar 19, 2024
- RAUM · $429M to $495MJan 5, 2024 to Mar 19, 2024
- Accounts · 617 to 658Jan 25, 2022 to Feb 21, 2023
Signals
2 dated events
- G••••• G•••• S•••••• (Vice President, Secretary And Chief Compliance Officer) appeared on Schedule A of S•••••• F••••••••• L••Dec 22, 2023 · Control person joined · fact
- L••• R•••• S•••••• (Director) appeared on Schedule A of S•••••• F••••••••• L••Dec 22, 2023 · Control person joined · 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
- S••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 913-722-1111reportedpublic record, Form ADV, Feb 9, 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
- $306Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026