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
D•••• F•••••••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Jan 26, 2024 · 5 filings
SEC status approved since Feb 28, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
64%
$93.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$145M as of Mar 26, 2026
Feb 12, 2025$126M then
HNW client RAUM$91.5M as of Mar 26, 2026
Feb 12, 2025$73.1M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Feb 12, 20251 then
Employees (5.A)1 as of Mar 26, 2026
Feb 12, 20251 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $618,158derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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$91.5M63%
- Pension and profit-sharing plans$51.6M36%
- Individuals$1.6M1.1%
- Individual clients
- 5reported
- HNW clients
- 51reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 234reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.36 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 |
|---|---|---|---|---|
| M•••••• W•••••• D••••Certified Financial Planner, Personal Financial Specialist | Overland Park, Ks | Jun 14, 2007 | 23 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
- M•••••• W•••••• D•••• from C•••• W•••••• • A••••••••• L••Jun 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• W•••••• · President/Chief Compliance Officercontrolsince 12/2008 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 227 to 234Feb 12, 2025 to Mar 26, 2026
- HNW clients · 41 to 51Feb 12, 2025 to Mar 26, 2026
- Individual clients · 13 to 5Feb 12, 2025 to Mar 26, 2026
- Pension plan clients · 23 to 22Feb 12, 2025 to Mar 26, 2026
- HNW RAUM · $73.1M to $91.5MFeb 12, 2025 to Mar 26, 2026
- Individual RAUM · $4.9M to $1.6MFeb 12, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $126M to $145MFeb 12, 2025 to Mar 26, 2026
- Pension RAUM · $47.6M to $51.6MFeb 12, 2025 to Mar 26, 2026
- RAUM · $126M to $145MFeb 12, 2025 to Mar 26, 2026
- Accounts · 200 to 227Mar 20, 2024 to Feb 12, 2025
- Pension plan clients · 26 to 23Mar 20, 2024 to Feb 12, 2025
- Financial planning clients · 51-100 to 51-100Mar 20, 2024 to Feb 12, 2025
- HQ city · LEAWOOD to OVERLAND PARKMar 20, 2024 to Feb 12, 2025
- HNW RAUM · $64.9M to $73.1MMar 20, 2024 to Feb 12, 2025
- Individual RAUM · $3.3M to $4.9MMar 20, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $110M to $126MMar 20, 2024 to Feb 12, 2025
- Pension RAUM · $41.6M to $47.6MMar 20, 2024 to Feb 12, 2025
- RAUM · $110M to $126MMar 20, 2024 to Feb 12, 2025
Signals
1 dated events
- D•••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 26, 2024 · 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
- 913-890-7279reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 913-890-7280reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (913) 890-7279reportedpublic record, Form ADV, Mar 26, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026