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
N••••••• W••••• M•••••••••
Legal name T•• E•• S••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Feb 16, 2018 · 24 filings
SEC status approved since Mar 16, 2018
RAUM
$168M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$151M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$28.0M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$168M as of Aug 4, 2026
Mar 20, 2019$116M then
HNW client RAUM$94.2M as of Aug 4, 2026
Mar 20, 2019$57.0M then
State-registered IARs (5.B.3)6 as of Aug 4, 2026
Mar 20, 20196 then
Employees (5.A)6 as of Aug 4, 2026
Mar 20, 20196 then
Private funds: no history
RAUM +29% over the last fiscal year-6.4% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $28.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $264,397derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.2M56%
- Individuals$57.2M34%
- Pension and profit-sharing plans$16.4M9.7%
- Corporations and businesses$405,9930.2%
- Individual clients
- 222reported
- HNW clients
- 39reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 636reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• G••••• | Overland Park, Ks | Jan 6, 2009 | 17 y | 0 |
| J•••• M•••••• L••• | Overland Park, Ks | Jan 14, 2013 | 26 y | 2 |
| E•••••• D•••• H•••• | Overland Park, Ks | Apr 24, 2013 | 17 y | 0 |
| W•••••• F•••••••• F••••• | Overland Park, Ks | Aug 22, 2013 | 23 y | 2 |
| S••••• B•••• M•••••Chartered Financial Analyst | Overland Park, Ks | Sep 15, 2020 | 29 y | 1 |
| T•••••• C•••••• W•••••Chartered Financial Analyst | Overland Park, Ks | Apr 6, 2021 | 18 y | 3 |
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 headcount3 left over 36 months
Left, latest
- M•••••• D•••••• to S••••• W••••• M•••••••••May 13, 2025 · RIA to RIA
- B••••••• J••• S•••• to P•••• C•••••• F••••••••Sep 27, 2024 · RIA to RIA
- C•••• R••••• K•••• to P•••• C•••••• F••••••••Apr 1, 2024 · RIA to RIA
- D•••• B•• to N••••••••• M••••• I••••••••• S•••••••••May 12, 2022 · Other
- A•••• J••••• P•••••• to E••••• W••••• M••••••••• L••Apr 14, 2015 · RIA to a state-registered adviser
- B•••• C• L••••• to W•••••• • R•••Oct 14, 2013 · Other
- K•••• L•• K•••••• to L•••• F•••••••• A•••••••• L••Aug 28, 2012 · Other
- J•••• D•••• F••• to B•••••• I••••••••• G••••Nov 14, 2011 · Other
Joined, latest
- B••••••• J••• S•••• from S••••••• F•••••••• S•••••••• I•••Sep 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- T•••••• C•••••• W••••• from M••••••••• W••••• A••••••• G••••Apr 6, 2021 · Other
- S••••• B•••• M••••• from C••••••• P•••••••Sep 15, 2020 · RIA to RIA
- A•••• J••••• P•••••• from C••••••••• F•••••••• N••••••Nov 15, 2013 · Affiliated broker-dealer or bank to independent RIA
- W•••••• F•••••••• F••••• from C••••••• B•••••••• S•••••••• I••Aug 22, 2013 · Other
- J•••• M•••••• L••• from F•••••••• E•••••• A•••••• C•••••• L••Jan 14, 2013 · Other
- K•••• L•• K•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 27, 2012 · Other
- B•••• C• L••••• from N••••••••• M••••• I••••••••• S•••••••••Dec 7, 2011 · Other
- J•••• D•••• F••• from B•••••• I••••••••• G••••Jan 13, 2011 · Other
- C•••• R••••• K•••• from S••••••• F•••••••• S•••••••• I•••Sep 17, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• N••••• · President, Ccocontrolsince 11/2008 · owns 5% to 10%
- G•••••• N••••• · Direct Ownercontrolsince 05/2024 · owns 75% or more of N••••••• H••••••• L••
- K••••• C••••• R••••• · Direct Ownersince 01/2022 · owns 5% to 10%
Entity owners
- N••••••• H••••••• L•• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 582 to 636Oct 30, 2025 to Mar 26, 2026
- Corporate clients · 1 to 3Oct 30, 2025 to Mar 26, 2026
- HNW clients · 36 to 39Oct 30, 2025 to Mar 26, 2026
- Individual clients · 206 to 222Oct 30, 2025 to Mar 26, 2026
- Discretionary RAUM · $132M to $152MOct 30, 2025 to Mar 26, 2026
- HNW RAUM · $83.4M to $94.2MOct 30, 2025 to Mar 26, 2026
- Individual RAUM · $49.0M to $57.2MOct 30, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $15.9M to $16.6MOct 30, 2025 to Mar 26, 2026
- Pension RAUM · $15.7M to $16.4MOct 30, 2025 to Mar 26, 2026
- RAUM · $148M to $168MOct 30, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Jul 30, 2025 to Oct 30, 2025
- Accounts · 550 to 582Mar 11, 2025 to Jul 30, 2025
- Advisory employees · 7 to 6Mar 11, 2025 to Jul 30, 2025
- Business name · T•• E•• S••••• I••• to N••••••• W••••• M•••••••••Mar 11, 2025 to Jul 30, 2025
- HNW clients · 35 to 36Mar 11, 2025 to Jul 30, 2025
- Individual clients · 196 to 206Mar 11, 2025 to Jul 30, 2025
- Pension plan clients · 5 to 6Mar 11, 2025 to Jul 30, 2025
- Employees · 8 to 6Mar 11, 2025 to Jul 30, 2025
- State-registered IARs · 7 to 6Mar 11, 2025 to Jul 30, 2025
- Discretionary RAUM · $119M to $132MMar 11, 2025 to Jul 30, 2025
- HNW RAUM · $75.3M to $83.4MMar 11, 2025 to Jul 30, 2025
- Individual RAUM · $43.4M to $49.0MMar 11, 2025 to Jul 30, 2025
- Non-discretionary RAUM · $11.2M to $15.9MMar 11, 2025 to Jul 30, 2025
- Pension RAUM · $11.5M to $15.7MMar 11, 2025 to Jul 30, 2025
- RAUM · $130M to $148MMar 11, 2025 to Jul 30, 2025
- Accounts · 850 to 550Sep 5, 2024 to Mar 11, 2025
- Advisory employees · 8 to 7Sep 5, 2024 to Mar 11, 2025
- Advisory activities · 5 to 6Sep 5, 2024 to Mar 11, 2025
- HNW clients · 42 to 35Sep 5, 2024 to Mar 11, 2025
- Individual clients · 283 to 196Sep 5, 2024 to Mar 11, 2025
- State-registered IARs · 8 to 7Sep 5, 2024 to Mar 11, 2025
- Discretionary RAUM · $144M to $119MSep 5, 2024 to Mar 11, 2025
- HNW RAUM · $88.2M to $75.3MSep 5, 2024 to Mar 11, 2025
- Individual RAUM · $57.3M to $43.4MSep 5, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $15.1M to $11.2MSep 5, 2024 to Mar 11, 2025
- Pension RAUM · $13.9M to $11.5MSep 5, 2024 to Mar 11, 2025
- RAUM · $159M to $130MSep 5, 2024 to Mar 11, 2025
- Accounts · 839 to 850Apr 29, 2024 to Sep 5, 2024
- HNW clients · 40 to 42Apr 29, 2024 to Sep 5, 2024
- Individual clients · 287 to 283Apr 29, 2024 to Sep 5, 2024
Signals
7 dated events
- M•••••• D•••••• left N••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2025-06-23)May 13, 2025 · a•••••• firm change · fact
- B••••••• J••• S•••• left N••••••• W••••• M••••••••• for P•••• C•••••• F•••••••• (registered 2024-09-27)Sep 27, 2024 · a•••••• firm change · fact
- Michael Joseph Massman (Direct Owner) no longer on Schedule A of N••••••• W••••• M••••••••• (listed 2024-04-29, absent 2024-09-05)Sep 5, 2024 · Control person left · inference
- N••••••• W••••• M••••••••• reported RAUM $147.8M, down 43% from $259.6M (2024-03-27 to 2024-04-29)Apr 29, 2024 · RAUM change · derived
- C•••• R••••• K•••• left N••••••• W••••• M••••••••• for P•••• C•••••• F•••••••• (registered 2024-03-28)Apr 1, 2024 · a•••••• firm change · fact
- D•••• B•• left N••••••• W••••• M••••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-08-23)May 12, 2022 · a•••••• firm change · fact
- T•• E•• S••••• I••• filed its initial SEC registration (Form ADV)Feb 16, 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.
How to reach
public business contact points only, each with its source
- Business email
- advice@novadius.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-365-3837reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- novadius.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-365-3837reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- novadius.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $28.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026