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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Former SEC-registered adviser

T•••• W••••• M•••••••

Former SEC-registered adviserKansas City, MissouriCRD 144791SEC 801-68636IAPD
Legal name T•••• W••••• M•••••••• I•••
Latest filing Dec 23, 2021
First filing on the tape Mar 28, 2012 · 30 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.7%
$13.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.9B as of Feb 23, 2021
Mar 28, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Feb 23, 2021
Mar 28, 20120 then
Employees (5.A)16 as of Feb 23, 2021
Mar 19, 201313 then
Private funds1 as of Mar 1, 2017
Mar 28, 20121 then
RAUM +4.6% over the last fiscal year+5.4% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Dec 23, 2021; every figure names its basis
RAUM per advisor
$211MderivedRAUM 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
$895,228derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$49.5M78%
  • Individuals$13.1M21%
  • Insurance companies$1.2M1.9%
Individual clients
16reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,126reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••• C••• T•••• C•••••• C••• E••••• F•••no longer reportedOther Private Fund$4.7M34Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • A•••• D••••••• E• · Directorcontrol
      since 01/2011 · owns less than 5%
    • H•••• M•••• S•••••• · Directorcontrol
      since 04/2019 · owns less than 5%
    • H••••• J•••• I•••• · Directorcontrol
      since 04/2010 · owns less than 5%
    • H••••••••• V••••• L••••• · Directorcontrol
      since 04/2014 · owns less than 5%
    • J••••••• C••••• A••• · Directorcontrol
      since 04/2017 · owns less than 5%
    • M••••••••• F••••• C•••••• · President / Ceo / Directorcontrol
      since 08/2015 · owns less than 5%
    • S••••• M•••••• A•••••• · Director / Chief Investment Officercontrol
      since 07/2019 · owns less than 5%
    • T•••••••• B••••• C••••••••• · Directorcontrol
      since 09/2007 · owns less than 5%
    • T•••••••• M•••• C•••••• · Directorcontrol
      since 09/2007 · owns less than 5%
    • T•••••••• T••••••• J• · Directorcontrol
      since 04/2016 · owns less than 5%
    • J••••• L•••••• K•••••••• · Chief Compliance Officer
      since 04/2018 · owns less than 5%
    Entity owners
    • C•••••• C••• T•••• C••••••• N••••••• A••••••••• · Shareholder
      direct · owns 75% or more
    • C•• F•••••••• C••••••••• · Shareholder
      indirect · owns 75% or more of C•••••• C••• B•••• N••••••• A•••••••••
    • C•••••• C••• B•••• N••••••• A••••••••• · Shareholder
      indirect · owns 75% or more of C•••••• C••• T•••• C••••••• N••••••• A•••••••••
    Related persons
    Schedule D 7.A
    Advisers that list T•••• W••••• M••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Prairie Village, KS9 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,161 to 2,126
      Dec 17, 2020 to Feb 23, 2021
    • Individual clients · 31 to 16
      Dec 17, 2020 to Feb 23, 2021
    • Discretionary RAUM · $1.8B to $1.8B
      Dec 17, 2020 to Feb 23, 2021
    • Individual RAUM · $18.9M to $13.1M
      Dec 17, 2020 to Feb 23, 2021
    • Non-discretionary RAUM · $62.6M to $58.0M
      Dec 17, 2020 to Feb 23, 2021
    • RAUM · $1.8B to $1.9B
      Dec 17, 2020 to Feb 23, 2021
    • Accounts · 2,126 to 2,161
      Oct 21, 2019 to Mar 25, 2020
    • Discretionary RAUM · $1.6B to $1.8B
      Oct 21, 2019 to Mar 25, 2020
    • Individual RAUM · $16.4M to $18.9M
      Oct 21, 2019 to Mar 25, 2020
    • Non-discretionary RAUM · $44.9M to $62.6M
      Oct 21, 2019 to Mar 25, 2020
    • RAUM · $1.6B to $1.8B
      Oct 21, 2019 to Mar 25, 2020
    • Accounts · 2,107 to 2,126
      Oct 18, 2018 to Mar 26, 2019
    • Individual clients · 24 to 31
      Oct 18, 2018 to Mar 26, 2019
    • State-registered IARs · 8 to 9
      Oct 18, 2018 to Mar 26, 2019
    • Discretionary RAUM · $1.6B to $1.6B
      Oct 18, 2018 to Mar 26, 2019
    • Individual RAUM · $27.8M to $16.4M
      Oct 18, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $0 to $44.9M
      Oct 18, 2018 to Mar 26, 2019
    • RAUM · $1.6B to $1.6B
      Oct 18, 2018 to Mar 26, 2019
    • Related adviser · true to false
      Oct 18, 2018 to Mar 26, 2019
    • Accounts · 1,996 to 2,107
      May 22, 2017 to Mar 30, 2018
    • Advisory employees · 8 to 9
      May 22, 2017 to Mar 30, 2018
    • Advisory activities · 5 to 4
      May 22, 2017 to Mar 30, 2018
    • Individual clients · unset to 24.0
      May 22, 2017 to Mar 30, 2018
    • Employees · 14 to 16
      May 22, 2017 to Mar 30, 2018
    • Other offices · unset to 1.0
      May 22, 2017 to Mar 30, 2018
    • Private funds · 1 to unset
      May 22, 2017 to Mar 30, 2018
    • Discretionary RAUM · $1.4B to $1.6B
      May 22, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 27816365.0
      May 22, 2017 to Mar 30, 2018
    • RAUM · $1.4B to $1.6B
      May 22, 2017 to Mar 30, 2018
    • Business name · T•••• W••••• M•••••••• I••• to T•••• W••••• M•••••••
      Apr 10, 2017 to May 22, 2017
    • Accounts · 1,936 to 1,996
      Feb 27, 2016 to Mar 1, 2017
    • Employees · 13 to 14
      Feb 27, 2016 to Mar 1, 2017
    • Discretionary RAUM · $1.3B to $1.4B
      Feb 27, 2016 to Mar 1, 2017
    • RAUM · $1.3B to $1.4B
      Feb 27, 2016 to Mar 1, 2017
    • Accounts · 1,975 to 1,936
      Mar 31, 2015 to Feb 27, 2016
    • Advisory employees · 6 to 8
      Mar 31, 2015 to Feb 27, 2016
    • Employees · 12 to 13
      Mar 31, 2015 to Feb 27, 2016
    • State-registered IARs · 5 to 8
      Mar 31, 2015 to Feb 27, 2016
    • Discretionary RAUM · $1.3B to $1.3B
      Mar 31, 2015 to Feb 27, 2016
    • RAUM · $1.3B to $1.3B
      Mar 31, 2015 to Feb 27, 2016
    Signals
    4 dated events
    • F•••• C•••••• M••••••••• left T•••• W••••• M••••••• for F•••• N••••••• A•••••••• L•• (registered 2026-07-29)
      Jan 3, 2022 · Advisor changed firm · fact
    • Lowell James Cole (Director) no longer on Schedule A of T•••• W••••• M••••••• (listed 2019-06-28, absent 2019-07-29)
      Jul 29, 2019 · Control person left · inference
    • S•••••• M••• H••• (Director) appeared on Schedule A of T•••• W••••• M•••••••
      Jul 29, 2019 · Control person joined · fact
    • Anthony Marcus Scott (Director / Chief Investment Officer) appeared on Schedule A of T•••• W••••• M•••••••
      Jul 29, 2019 · 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.
    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