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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

L•••••• I••••••••• A•••••••• L••

No RAUM reportedOverland Park, KansasCRD 144133SEC 801-68005website IAPD

Latest filing Jul 30, 2026

First filing on the tape Mar 26, 2012 · 36 filings

SEC status approved since Jun 18, 2007

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

24 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

36 filings and snapshots on the tape

RAUM$0 as of Jul 30, 2026

Jul 30, 2018$4.2B then

HNW client RAUM$0 as of Jul 30, 2026

Jul 30, 2018$0 then

State-registered IARs (5.B.3)24 as of Jul 30, 2026

Jul 18, 20120 then

Employees (5.A)24 as of Jul 30, 2026

Jul 30, 201388 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 29 to 24

Practice profile

derived from the filing of Jul 30, 2026; 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: 1.1derivedItem 5.A over advisors
Advisors per office: 22.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -6.9%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

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: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=17.0derived

Advisors registered through the firm

22 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
N••• M• M•••••••••	Atlanta, Ga	Feb 20, 2008	34 y	0
S••• T• D•••••	Overland Park, Ks	Oct 29, 2008	25 y	0
M•••••• P••• S••••••	Overland Park, Ks	Dec 1, 2011	24 y	0
J•••• R•••• D••••	Dallas, Tx	Dec 19, 2011	31 y	0
R••••• N••••• A•••••	Denver, Co	Jan 1, 2012	15 y	0
P••• M••••• V••••••••	Houston, Tx	Aug 27, 2012	21 y	0
K••• R•••••• H••••••	Overland Park, Ks	May 23, 2013	27 y	0
C•••••••• M•••••• M•••••	Overland Park, Ks	Dec 16, 2013	15 y	0
M•••••• J••••• F•••••	Overland Park, Ks	Jan 30, 2014	13 y	0
K•••• R•••••• M••••••••	Overland Park, Ks	Feb 24, 2014	26 y	0
F•••••• S•••••• B•••••	Overland Park, Ks	Apr 23, 2014	19 y	0
J•••• B••••••• M•••••Certified Financial Planner, Chartered Financial Consultant	Denver, Co	Sep 16, 2014	34 y	3
R••••• P••• L••••••••	Overland Park, Ks	Jun 1, 2020	13 y	0
M•••••• R••••• M••••••	Overland Park, Ks	Jul 23, 2020	21 y	1
D••••• P•••••• F••••	Overland Park, Ks	Jul 1, 2021	18 y	3
S•••••• T••• L••••••••	Overland Park, Ks	Apr 11, 2023	22 y	0
M•••••• P• P•••••	Overland Park, Ks	May 31, 2023	11 y	0
M••••• A•••••••• L••••	Overland Park, Ks	Oct 4, 2023	17 y	0
R••••• T••••• C•••••••	Washington, Dc	May 14, 2024	21 y	0
B•••• D••••• N••••	Overland Park, Ks	Jan 1, 2025	18 y	0
E••••• C••••• P•••••	Overland Park, Ks	Mar 27, 2025	15 y	0
J••• T••••••• D•••••	Overland Park, Ks	Jan 1, 2026	20 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

E••• D•••••• K•••••• to R••••••••• A•• W••••• A• A••••••• L••
Aug 17, 2022 · Other
D••• L•• H••• to C••••••• P•••••••
Jul 15, 2022 · Other
J•••••• N•••••• B• B••• to C••••••• P•••••••
May 20, 2022 · Other
S••••••• M•••• W••••••• to C••••••• P•••••••
Apr 11, 2022 · Other
M•••••• M•••• M•••••••• to C••••••• P•••••••
Apr 11, 2022 · Other
A•••• B•••• S•••• to C••••••• P•••••••
Apr 11, 2022 · Other
S•••• J•••••• W••••• to C••••••• P•••••••
Apr 11, 2022 · Other
M•••••• J•••••• A•••••• to C••••••• P•••••••
Apr 11, 2022 · Other
C•••• F•••••• P••••••• B••• to C••••••• P•••••••
Apr 11, 2022 · Other
C••••••• D••••••• S•••••• to C••••••• P•••••••
Jan 24, 2022 · Other
V•••••• B•••• to V••• R••••••••• A•••••••• L••
Oct 6, 2021 · Other
M•••••• L•• L•••• to M•• S••••••••• L••
Aug 20, 2021 · Other
J•••• K•••••• to T•• W••••• M•••••••••
Aug 6, 2021 · Other
J•••• H••••••• W••••• to O•••••••••
Jun 25, 2021 · Other
G•••• R•••••• E•••• to L•• F•••••••• L••
Feb 12, 2021 · Other

Joined, latest

P•••• A••••• S••••• from S••••••• I••••••••• A•••••••• I•••
Dec 6, 2021 · Other
C•••• L•• C•••••••• from E••••• J••••
Nov 18, 2021 · Other
A•••• B•••• S•••• from I•• G••••• I•••
Oct 5, 2021 · Other
N••••• W••••• from E•••••••• A•••••••• L••
Sep 7, 2021 · Other
J••••• J•••• M••••••••• from K••••• A••••••• S•••••••• L••
Aug 11, 2021 · Other
D••••• P•••••• F•••• from I••••••••• I••••••••• F••••••••• L••
Jul 1, 2021 · Other
J•••• L•••• B•••••• from L•• F•••••••• L••
Apr 7, 2021 · Other
M•••••• S••••• F•••••• from N••••••••• I••••••••• A•••••••• L••
Apr 6, 2021 · Other
J•••• K•••••• from F•••••••• A•••••••• I••••••••• M•••••••••
Mar 5, 2021 · Other
C••• E••••• H••• from C••••• F••••••••
Nov 16, 2020 · Other
M•••••• R••••• M•••••• from L•• F•••••••• L••
Jul 23, 2020 · Other
G•••• R•••••• E•••• from F•••• S•• F••••••••
Apr 22, 2020 · Other
J•••••• A•• O••••••• from H•• I••••••••• A•••••••• I••
Jan 23, 2020 · Other
M••••••• R••• M•••• from K••••• A••••••• S•••••••• L••
Nov 11, 2019 · Other
S•••• J•••••• W••••• from T• A••••••••• I•••
Oct 28, 2019 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

6 left for C••••••• P•••••••
Apr 11, 2022 · Overland Park, Ks

2 joined from W••••••••• A•••••••• L••
Jan 23, 2019 · Scottsdale, Az

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• K•••• R•••••• · Executive Officercontrol
since 02/2024 · owns less than 5%
C••••••• C•••••• N••• · Cco
since 04/2022 · owns less than 5%

Entity owners

L•••••• I•••••••• A•••••• L•• · Corporate Unit Holder
direct · owns 75% or more
L••••••• I••• · Sole Member
indirect · owns 75% or more of Lpcm, LLC
L•••••• O•••••••• C••••••••• L•• · Corporate Unit Holder
indirect · owns 75% or more of Lockton Insurance Agency, LLC
L•••••• P•••••••• L•• · Corporate Unit Holder
indirect · owns 75% or more of Lockton Operating Companies, LLC
L•••• L•• · Corporate Unit Holder
indirect · owns 75% or more of Lockton Partners, LLC

Related persons

Schedule D 7.A

L•••••• I••••••••• S••••••••• L••
broker-dealerreal estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined
Overland Park, Ks · principal	22	1
Dallas, Tx	5	0
Washington, Dc	3	0
Denver, Co	2	0
Houston, Tx	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HQ city · KANSAS CITY to OVERLAND PARK
Jul 29, 2025 to Jul 30, 2026
HQ state · MO to KS
Jul 29, 2025 to Jul 30, 2026
Accounts · unset to 0.0
Jul 26, 2024 to Jul 29, 2025
Advisory employees · 27 to 24
Jul 26, 2024 to Jul 29, 2025
BD registered reps · 20 to 17
Jul 26, 2024 to Jul 29, 2025
Employees · 27 to 24
Jul 26, 2024 to Jul 29, 2025
Financial planning clients · unset to
Jul 26, 2024 to Jul 29, 2025
State-registered IARs · 27 to 24
Jul 26, 2024 to Jul 29, 2025
Discretionary RAUM · unset to 0.0
Jul 26, 2024 to Jul 29, 2025
Non-discretionary RAUM · unset to 0.0
Jul 26, 2024 to Jul 29, 2025
RAUM · unset to 0.0
Jul 26, 2024 to Jul 29, 2025
Advisory employees · 29 to 27
Feb 22, 2024 to Jul 26, 2024
BD registered reps · 21 to 20
Feb 22, 2024 to Jul 26, 2024
Employees · 29 to 27
Feb 22, 2024 to Jul 26, 2024
State-registered IARs · 29 to 27
Feb 22, 2024 to Jul 26, 2024
Advisory employees · 27 to 29
Jun 9, 2023 to Jul 11, 2023
BD registered reps · 26 to 21
Jun 9, 2023 to Jul 11, 2023
Employees · 27 to 29
Jun 9, 2023 to Jul 11, 2023
State-registered IARs · 27 to 29
Jun 9, 2023 to Jul 11, 2023
BD registered reps · 106 to 26
Apr 12, 2022 to Jul 29, 2022
Accounts · 410.0 to unset
Apr 12, 2022 to Jul 29, 2022
Advisory employees · 112 to 27
Apr 12, 2022 to Jul 29, 2022
Advisory activities · 4 to 1
Apr 12, 2022 to Jul 29, 2022
Individual clients · unset to 0.0
Apr 12, 2022 to Jul 29, 2022
Pension plan clients · 410 to 0
Apr 12, 2022 to Jul 29, 2022
Employees · 128 to 27
Apr 12, 2022 to Jul 29, 2022
Financial planning clients · 11-25 to unset
Apr 12, 2022 to Jul 29, 2022
State-registered IARs · 112 to 27
Apr 12, 2022 to Jul 29, 2022
Other offices · 18 to 0
Apr 12, 2022 to Jul 29, 2022
Discretionary RAUM · 1027143576.0 to unset
Apr 12, 2022 to Jul 29, 2022
Individual RAUM · unset to 0.0
Apr 12, 2022 to Jul 29, 2022
Non-discretionary RAUM · 20534530786.0 to unset
Apr 12, 2022 to Jul 29, 2022
Pension RAUM · $22B to $0
Apr 12, 2022 to Jul 29, 2022
RAUM · 21561674362.0 to unset
Apr 12, 2022 to Jul 29, 2022
Accounts · 266 to 410
Mar 11, 2021 to Jul 30, 2021
Advisory employees · 122 to 112
Mar 11, 2021 to Jul 30, 2021
BD registered reps · 115 to 106
Mar 11, 2021 to Jul 30, 2021
Pension plan clients · 266 to 410
Mar 11, 2021 to Jul 30, 2021
Employees · 133 to 128
Mar 11, 2021 to Jul 30, 2021
Financial planning clients · 26-50 to 11-25
Mar 11, 2021 to Jul 30, 2021

Signals

23 dated events

Randall Kyle Hartman (Executive Officer) appeared on Schedule A of Lockton Investment Advisors, Llc
Feb 22, 2024 · Control person joined · fact
Eric Douglas Kaufman left Lockton Investment Advisors, Llc for Retirement And Wealth At Alliant, Llc (registered 2026-05-06)
Aug 17, 2022 · Advisor changed firm · fact
Lockton Investment Advisors, Llc reported 0 offices beyond its principal office, down from 18 (2022-04-12 to 2022-07-29)
Jul 29, 2022 · Office count change · derived
Lockton Investment Advisors, Llc reported 27 state-registered advisory representatives, down from 112 (2022-04-12 to 2022-07-29)
Jul 29, 2022 · Advisor headcount change · derived
Lee Donn Hess (President) no longer on Schedule A of Lockton Investment Advisors, Llc (listed 2022-04-12, absent 2022-07-29)
Jul 29, 2022 · Control person left · inference
Donn Lee Hess left Lockton Investment Advisors, Llc for Creative Planning (registered 2025-07-03)
Jul 15, 2022 · Advisor changed firm · fact
Jueryll Normand B Buan left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-17)
May 20, 2022 · Advisor changed firm · fact
Ashli Brook Smith left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-21)
Apr 11, 2022 · Advisor changed firm · fact
Stefanie Marie Williams left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-19)
Apr 11, 2022 · Advisor changed firm · fact
Melinda Marie Marburger left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-17)
Apr 11, 2022 · Advisor changed firm · fact
Matthew Jeffrey Arnoult left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-17)
Apr 11, 2022 · Advisor changed firm · fact
5 advisors left Lockton Investment Advisors, LLC (Overland Park, KS) for Creative Planning on the same day
Apr 11, 2022 · Team lift-out · derived
Carly Frances Prentice Bell left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-19)
Apr 11, 2022 · Advisor changed firm · fact
Scott Jeffery Weneck left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-17)
Apr 11, 2022 · Advisor changed firm · fact
Neil Curtis Calvert (Cco) appeared on Schedule A of Lockton Investment Advisors, Llc
Apr 8, 2022 · Control person joined · fact
Robert Raymond Hessling (Cco) no longer on Schedule A of Lockton Investment Advisors, Llc (listed 2022-02-08, absent 2022-04-08)
Apr 8, 2022 · Control person left · inference
Fischer Karen Prange (Cco) no longer on Schedule A of Lockton Investment Advisors, Llc (listed 2021-07-30, absent 2022-02-08)
Feb 8, 2022 · Control person left · inference
Robert Raymond Hessling (Cco) appeared on Schedule A of Lockton Investment Advisors, Llc
Feb 8, 2022 · Control person joined · fact
Courtney Danielle Stroope left Lockton Investment Advisors, Llc for Creative Planning (registered 2021-12-20)
Jan 24, 2022 · Advisor changed firm · fact
Ann Pamela Popp (President) no longer on Schedule A of Lockton Investment Advisors, Llc (listed 2021-03-11, absent 2021-07-30)
Jul 30, 2021 · Control person left · inference
Lee Donn Hess (President) appeared on Schedule A of Lockton Investment Advisors, Llc
Jul 30, 2021 · Control person joined · fact
Lockton Investment Advisors, Llc reported RAUM $21.6B, up 185% from $7.6B (2021-03-11 to 2021-07-30)
Jul 30, 2021 · RAUM change · derived
Lockton Investment Advisors, Llc reported RAUM $7.6B, up 48% from $5.1B (2020-07-01 to 2020-07-31)
Jul 31, 2020 · RAUM change · derived

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: LOCKTON.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 816-960-9000reportedpublic record, Form ADV, Jul 30, 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: No RAUM reportedderiveda 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