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

R••••••••• B••••••••• L••

Former SEC-registered adviserKansas City, MissouriCRD 147640SEC 801-113290IAPD
Latest filing Mar 31, 2023
First filing on the tape Apr 25, 2018 · 13 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
0.8%
of RAUM
Private clients
0.8%
$15.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
13 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2023
Mar 29, 2019$9.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Mar 29, 20193 then
Employees (5.A)4 as of Mar 31, 2023
Mar 29, 20194 then
Private funds: no history
RAUM -49% over the last fiscal year+426% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$590MderivedRAUM 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
$329,870derivedRAUM over accounts (5.F.2.f)
Discretionary
0.8%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-49%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 assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Financial planning clients
899reportedItem 5.H
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$15.0M100%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5,370reported
Financial planning clients
899reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• W••••••• H•••• · Managing Principalcontrol
        since 07/2008 · owns less than 5%
      • L••••••••• C••••••••• C•••••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      Entity owners
      • M•••• I••• · Member
        direct · owns 75% or more
      • M••••• I••• · Shareholder
        indirect · owns 75% or more of M•••• I•••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12,540 to 5,370
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 7 to 8
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $13.7M to $15.0M
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $13.7M to $15.0M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $3.5B to $1.8B
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $3.5B to $1.8B
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 10,952 to 12,540
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $13.6M to $13.7M
        Mar 31, 2021 to Mar 31, 2022
      • Individual RAUM · $13.6M to $13.7M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $3.0B to $3.5B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $3.0B to $3.5B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 33 to 10,952
        Jun 30, 2020 to Mar 31, 2021
      • Individual clients · 6 to 7
        Jun 30, 2020 to Mar 31, 2021
      • HQ city · OVERLAND PARK to KANSAS CITY
        Jun 30, 2020 to Mar 31, 2021
      • HQ state · KS to MO
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $12.2M to $13.6M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $12.2M to $13.6M
        Jun 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $0 to $3.0B
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $12.2M to $3.0B
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 31 to 33
        Aug 29, 2019 to Feb 21, 2020
      • Discretionary RAUM · $9.8M to $12.2M
        Aug 29, 2019 to Feb 21, 2020
      • Individual RAUM · $9.8M to $12.2M
        Aug 29, 2019 to Feb 21, 2020
      • RAUM · $9.8M to $12.2M
        Aug 29, 2019 to Feb 21, 2020
      • Employees · 5 to 4
        Nov 13, 2018 to Mar 29, 2019
      • Financial planning clients · 251-500 to More than 500
        Nov 13, 2018 to Mar 29, 2019
      • State-registered IARs · 4 to 3
        Nov 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $10.1M to $9.8M
        Nov 13, 2018 to Mar 29, 2019
      • Individual RAUM · $10.1M to $9.8M
        Nov 13, 2018 to Mar 29, 2019
      • RAUM · $10.1M to $9.8M
        Nov 13, 2018 to Mar 29, 2019
      Signals
      2 dated events
      • R••••••••• B••••••••• L•• reported RAUM $1.8B, down 49% from $3.5B (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • R••••••••• B••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 25, 2018 · 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.
      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