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.
Former SEC-registered adviser
Frontier Wealth Management, LLC
Latest filing Aug 19, 2022
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$4.1B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
74%
$3.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
25 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
4
$60.9M gross assets
History
34 filings and snapshots on the tape
RAUM$4.1B as of Mar 29, 2022
Mar 30, 2012$354M then
HNW client RAUM$2.5B as of Mar 29, 2022
Mar 30, 2018$1.5B then
State-registered IARs (5.B.3)25 as of Mar 29, 2022
Mar 30, 20120 then
Employees (5.A)50 as of Mar 29, 2022
Mar 28, 201322 then
Private funds4 as of Mar 29, 2022
Mar 30, 201210 then
RAUM +12% over the last fiscal year+23% a year over threeIARs 29 to 25offices 6 to 7
Practice profile
derived from the filing of Aug 19, 2022; every figure names its basis
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $642,900derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.1derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $56.0M, 133 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B60%
- Pension and profit-sharing plans$957M23%
- Individuals$571M14%
- Pooled investment vehicles$60.9M1.5%
- Corporations and businesses$49.4M1.2%
- Charitable organizations$5.9M0.1%
- Individual clients
- 1,340reported
- HNW clients
- 652reported
- Pension plan clients
- 56reported
- Charitable clients
- 6reported
- Accounts
- 6,381reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.0M for 133 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
Left, latest
- George Dickson Griswold to CaptrustOct 21, 2022 · Other
- Stephen Lee Olafson to CaptrustOct 21, 2022 · Other
- David K Neal to CaptrustOct 21, 2022 · Other
- Deborah Sue Farnham to CaptrustOct 21, 2022 · Other
- Tracy Klem Ruddle to CaptrustOct 21, 2022 · Other
- Joseph Alan Pesnell to CaptrustOct 21, 2022 · Other
- Darren C Obrecht to CaptrustOct 21, 2022 · Other
- Sidni Nicole Dohm to CaptrustOct 21, 2022 · Other
- Jill Allagood Rogers to CaptrustOct 21, 2022 · Other
- Robert Scott Richardson to CaptrustOct 21, 2022 · Other
- Janelle Ilene Correnti to CaptrustOct 21, 2022 · Other
- Troy David Kerr to CaptrustOct 21, 2022 · Other
- Benjamin Jay Christensen to CaptrustOct 21, 2022 · Other
- Nicholas Michael Blasi to CaptrustOct 21, 2022 · Other
- Aaron Joseph Anson to CaptrustOct 21, 2022 · Other
Joined, latest
- Daniel Allen Hamm from American Century Investments Private Client Group, Inc.Jul 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- Doug Eric Allen Jenkins from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 21, 2021 · Wirehouse to independent RIA
- Stephen Lee Olafson from Karstens Investment Counsel, Inc.May 14, 2020 · RIA to RIA
- Darren C Obrecht from Karstens Investment Counsel, Inc.May 14, 2020 · RIA to RIA
- George Dickson Griswold from Highwater Wealth Management LLCFeb 5, 2020 · RIA to RIA
- Elizabeth Mezei Raabe from Highwater Wealth Management LLCFeb 4, 2020 · RIA to RIA
- Sidni Nicole Dohm from Heartland Asset Management, LLCJan 10, 2020 · Other
- Janelle Ilene Correnti from Edward JonesJul 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- Cynthia Ann Wolf from Ima Advisory Services, Inc.Jun 19, 2018 · RIA to RIA
- Brian Lee Tackett from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 4, 2018 · Wirehouse to independent RIA
- Benjamin Jay Christensen from UBS Financial Services Inc.Aug 18, 2017 · Other
- Deborah Sue Farnham from UBS Financial Services Inc.Apr 21, 2015 · Other
- Tracy Klem Ruddle from UBS Financial Services Inc.Apr 21, 2015 · Other
- Kelly Michael Elsensohn from Comprehensive Personal Financial AdvisorsApr 21, 2015 · Other
- David Eric Baysinger from Comprehensive Personal Financial AdvisorsApr 20, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 20 left for CaptrustOct 21, 2022 · Leawood, Ks · Firm absorbed
- 2 left for CaptrustOct 21, 2022 · Omaha, Ne
- 2 left for Wealthsource?Jan 15, 2021 · Leawood, Ks
- 2 joined from Karstens Investment Counsel, Inc.Mar 30, 2020 · Omaha, Ne
- 2 joined from Highwater Wealth Management LLCFeb 3, 2020 · Glendale, Co
- 4 joined from UBS Financial Services Inc.Apr 22, 2015 · Wichita, Ks
- 5 joined from Comprehensive Personal Financial AdvisorsMar 25, 2015 · Lone Tree, Co · Firm absorbed
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Five Elms Equity Fund I LPno longer reported | Private Equity Fund | $45.9M | 99 | Mar 30, 2012 |
| Frontier Permo Fund, LLCno longer reported | Hedge Fund | $45.3M | 172 | Mar 30, 2016 |
| Jones Credit Facility Fund II, LLC | Securitized Asset Fund | $30.0M | 0 | Dec 5, 2022 |
| Jones Credit Facility Fund, LLC | Securitized Asset Fund | $12.0M | 79 | Mar 31, 2021 |
| Frontier Five Elms III LP | Private Equity Fund | $11.3M | 73 | Dec 19, 2016 |
| Frontier Five Elms II LP | Private Equity Fund | $10.5M | 99 | Mar 30, 2012 |
| Tablerock Canyon LLCno longer reported | Real Estate Fund | $8.7M | 119 | Mar 30, 2012 |
| Sc Capital 1 LLCno longer reported | Private Equity Fund | $4.7M | 18 | Mar 27, 2020 |
| China Gold LLCno longer reported | Other Private Fund | $3.9M | 35 | Mar 30, 2012 |
| Five Elms Coinvest LPno longer reported | Private Equity Fund | $2.7M | 11 | Mar 30, 2012 |
| Kansas In Bloom LLCno longer reported | Private Equity Fund | $2.6M | 94 | Mar 30, 2012 |
| Tiara Holdings I LPno longer reported | Real Estate Fund | $1.6M | 20 | Mar 30, 2012 |
| Rockline II LLCno longer reported | Other Private Fund | $206,792 | 9 | Mar 30, 2012 |
| The Atlas Fund L.P.no longer reported | Other Private Fund | $158,185 | 34 | Mar 30, 2012 |
| Fwe Equity LLC | Private Equity Fund | $0 | 23 | Mar 27, 2020 |
| Rockline III LLCno longer reported | Other Private Fund | $0 | 47 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Aaron Anson · Director Of Operationscontrolsince 01/2017 · owns less than 5%
- Michael Nicholas Blasi · Ceo / Elected Membercontrolsince 11/2009 · owns 5% to 10%
- David Troy Kerr · Chief Compliance Officer / Membercontrolsince 09/2007 · owns 5% to 10%
- Brandon Sifers · Chief Financial Officer / Elected Membercontrolsince 01/2013 · owns less than 5%
Entity owners
- Frontier Wealth Enterprises, LLC · Owner / Memberdirect · owns 25% to 50%
- Fwe Class D Holdco LLC · Equity Investorindirect · owns 25% to 50% of Frontier Wealth Enterprises, LLC
- Fwe Equity, LLC · Equity Investorindirect · owns 25% to 50% of Frontier Wealth Enterprises, LLC
Related persons
Schedule D 7.A
- Captrustinvestment advisernRAUM $1237B
- Captrust Financial Advisorsbroker-dealernRAUM $116B
- Frontier Five Elms Equity Fund II Gp, LLCpooled vehicle sponsorn
- Frontier Insurance Strategies, LLCreal estaten
Offices
Schedule D 1.F, the 25 largest
- Wichita, KS5 employees
- Omaha, NE4 employees
- St. Louis, MO3 employees
- Lone Tree, CO2 employees
- Glendale, CO2 employees
- Albany, GA1 employees
- Hutchinson, KS1 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 31, 2022 to Aug 19, 2022
- Related broker-dealer · false to trueMar 31, 2022 to Aug 19, 2022
- Accounts · 6,123 to 6,381Oct 28, 2021 to Mar 29, 2022
- Advisory employees · 29 to 25Oct 28, 2021 to Mar 29, 2022
- Charity clients · 34 to 6Oct 28, 2021 to Mar 29, 2022
- Corporate clients · 58 to 14Oct 28, 2021 to Mar 29, 2022
- HNW clients · 676 to 652Oct 28, 2021 to Mar 29, 2022
- Individual clients · 1,476 to 1,340Oct 28, 2021 to Mar 29, 2022
- Pension plan clients · 62 to 56Oct 28, 2021 to Mar 29, 2022
- Assets in custody · $55.2M to $56.0MOct 28, 2021 to Mar 29, 2022
- Employees · 51 to 50Oct 28, 2021 to Mar 29, 2022
- State-registered IARs · 29 to 25Oct 28, 2021 to Mar 29, 2022
- Other offices · 6 to 7Oct 28, 2021 to Mar 29, 2022
- Discretionary RAUM · $2.7B to $3.0BOct 28, 2021 to Mar 29, 2022
- HNW RAUM · $2.0B to $2.5BOct 28, 2021 to Mar 29, 2022
- Individual RAUM · $492M to $571MOct 28, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $923M to $1.1BOct 28, 2021 to Mar 29, 2022
- Pension RAUM · $892M to $957MOct 28, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $35.3M to $60.9MOct 28, 2021 to Mar 29, 2022
- RAUM · $3.7B to $4.1BOct 28, 2021 to Mar 29, 2022
- Accounts · 6,266 to 6,123Jun 25, 2020 to Mar 31, 2021
- Advisory employees · 32 to 29Jun 25, 2020 to Mar 31, 2021
- Charity clients · 39 to 34Jun 25, 2020 to Mar 31, 2021
- Corporate clients · 76 to 58Jun 25, 2020 to Mar 31, 2021
- HNW clients · 103 to 676Jun 25, 2020 to Mar 31, 2021
- Individual clients · 1,928 to 1,476Jun 25, 2020 to Mar 31, 2021
- Pension plan clients · 70 to 62Jun 25, 2020 to Mar 31, 2021
- Assets in custody · $28.2M to $55.2MJun 25, 2020 to Mar 31, 2021
- Employees · 60 to 51Jun 25, 2020 to Mar 31, 2021
- Financial planning clients · 101-250 to 251-500Jun 25, 2020 to Mar 31, 2021
- State-registered IARs · 32 to 29Jun 25, 2020 to Mar 31, 2021
- Other offices · 8 to 6Jun 25, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.2B to $2.7BJun 25, 2020 to Mar 31, 2021
- HNW RAUM · $742M to $2.0BJun 25, 2020 to Mar 31, 2021
- Individual RAUM · $1.2B to $492MJun 25, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $888M to $923MJun 25, 2020 to Mar 31, 2021
- Pension RAUM · $733M to $892MJun 25, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $40.3M to $35.3MJun 25, 2020 to Mar 31, 2021
- RAUM · $3.1B to $3.7BJun 25, 2020 to Mar 31, 2021
- Accounts · 6,106 to 6,266Mar 31, 2020 to Jun 25, 2020
Signals
28 dated events
- Clay Edward Hartman left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Cynthia Ann Wolf left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Jill Allagood Rogers left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Blake Ryan Greenfield left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- George Dickson Griswold left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Deborah Sue Farnham left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Doug Eric Allen Jenkins left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Tracy Klem Ruddle left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Richard James Rogers left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- John D Jenkins left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Robert Scott Richardson left Frontier Wealth Management, Llc for Captrust (registered 2022-08-22)Oct 21, 2022 · Advisor changed firm · fact
- Janelle Ilene Correnti left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Joseph Alan Pesnell left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Stephen Lee Olafson left Frontier Wealth Management, Llc for Captrust (registered 2022-08-22)Oct 21, 2022 · Advisor changed firm · fact
- David K Neal left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Nicholas Michael Blasi left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Aaron Joseph Anson left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Mark Edward Howe left Frontier Wealth Management, Llc for Captrust (registered 2022-08-30)Oct 21, 2022 · Advisor changed firm · fact
- Matthew C Taylor left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Deann Elaine Mitchell left Frontier Wealth Management, Llc for Captrust (registered 2022-08-22)Oct 21, 2022 · Advisor changed firm · fact
- Darren C Obrecht left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Sidni Nicole Dohm left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Troy David Kerr left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Benjamin Jay Christensen left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · Advisor changed firm · fact
- Frontier Wealth Management, LLC's advisors moved to Captrust (Leawood, KS): 22 of 24 registered, on the same dayOct 21, 2022 · Firm absorbed (people side) · derived
- 2 advisors left Frontier Wealth Management, LLC (Omaha, NE) for Captrust on the same dayOct 21, 2022 · Team lift-out · derived
- Daniel Allen Hamm left Frontier Wealth Management, Llc for Intellicents Investment Solutions Inc (registered 2022-05-04)Apr 18, 2022 · Advisor changed firm · fact
- Joseph Aaron Anson (Chief Operations Officer) appeared on Schedule A of Frontier Wealth Management, LlcMar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- FWM Legacy, LLC · Independent Sponsorsshared crd · capital_provider
- FWM Legacy, LLC · Private Equityshared crd · organization
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
Across the graphs
Frontier Wealth Management, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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