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

C•••••• C••••••• L••

Former SEC-registered adviserLeawood, KansasCRD 148361SEC 801-77198IAPD
Latest filing Mar 27, 2020
First filing on the tape Sep 25, 2012 · 32 filings
RAUM
$532M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
38%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$85.6M gross assets
History
32 filings and snapshots on the tape
RAUM$532M as of Mar 27, 2020
Apr 1, 2013$275M then
HNW client RAUM$193M as of Mar 27, 2020
Mar 28, 2018$202M then
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Apr 1, 20138 then
Employees (5.A)8 as of Mar 27, 2020
Apr 1, 201312 then
Private funds1 as of Mar 27, 2020
Apr 1, 20135 then
RAUM +13% over the last fiscal year-1.7% a year over threeIARs 9 to 0
Practice profile
derived from the filing of Mar 27, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$12.1MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-41%derived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$234M44%
  • High-net-worth individuals$193M36%
  • Pooled investment vehicles$85.6M16%
  • Other investment advisers$9.0M1.7%
  • Individuals$7.9M1.5%
  • Charitable organizations$2.2M0.4%
Individual clients
22reported
HNW clients
16reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
101reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••• P••• A•••• F•••• L•no longer reportedHedge Fund$68.6M8Sep 25, 2012
    C•••••• C••• E••••• F•••• L•no longer reportedHedge Fund$6.9M32Sep 25, 2012
    R••• D••• V•••• M•••• C•• F•••• L•no longer reportedHedge Fund$2.6M8Sep 25, 2012
    R•••••• B••• N•••••• A•• C•• F•••• L•no longer reportedHedge Fund$1.9M5Sep 25, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••• J•••••••• C•••• · Chief Executive Officer And Chief Investment Officercontrol
      since 03/2008 · owns 5% to 10%
    • B••••••••• J•••• G••••• · Chairmancontrol
      since 03/2015 · owns 5% to 10%
    • D••••••• G•••• W•••••• · Chief Executive Officercontrol
      since 03/2015 · owns less than 5%
    • M•••••••• B••••• J•••• · President And Chief Operating Officercontrol
      since 01/2020 · owns 5% to 10%
    • S••••••••• M••••••• A••••• · Chief Compliance Officercontrol
      since 09/2019 · owns less than 5%
    • B••••••••• A•••••• J••••• · Managercontrol
      since 11/2010 · owns F of T•• H•••••••• L••
    • B••••••••• J•••• G••••• · Managercontrol
      since 10/2013 · owns F of T•• H•••••••• L••
    • S•••••• I••• J••••• E•••• · Trusteecontrol
      since 01/1986 · owns F of J•••• E• S••••••• I•• R•••••••• T••••
    Entity owners
    • T•• H•••••••• L•• · Member
      direct · owns 50% to 75%
    • J•••• E• S••••••• I•• R•••••••• T•••• · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • F•••••• E••••••••• L••
      investment adviserbankn
    • G•••• R•••• C•••••• F••• I• G•• L••
      pooled vehicle sponsorn
    • G•••• R•••• C••••••• L••
      investment advisernRAUM $495M
    • R••• M• G•• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 133 to 101
      Oct 9, 2019 to Mar 27, 2020
    • Advisory employees · 13 to 3
      Oct 9, 2019 to Mar 27, 2020
    • BD registered reps · 5 to 0
      Oct 9, 2019 to Mar 27, 2020
    • HNW clients · 17 to 16
      Oct 9, 2019 to Mar 27, 2020
    • Individual clients · 47 to 22
      Oct 9, 2019 to Mar 27, 2020
    • Employees · 14 to 8
      Oct 9, 2019 to Mar 27, 2020
    • State-registered IARs · 9 to 0
      Oct 9, 2019 to Mar 27, 2020
    • Discretionary RAUM · $346M to $388M
      Oct 9, 2019 to Mar 27, 2020
    • HNW RAUM · $172M to $193M
      Oct 9, 2019 to Mar 27, 2020
    • Individual RAUM · $17.3M to $7.9M
      Oct 9, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $125M to $144M
      Oct 9, 2019 to Mar 27, 2020
    • Pooled vehicle RAUM · $58.3M to $85.6M
      Oct 9, 2019 to Mar 27, 2020
    • RAUM · $471M to $532M
      Oct 9, 2019 to Mar 27, 2020
    • Wrap assets (manager) · 5435404.0 to unset
      Oct 9, 2019 to Mar 27, 2020
    • Wrap assets (sponsor) · 0.0 to unset
      Oct 9, 2019 to Mar 27, 2020
    • Accounts · 131 to 133
      Sep 5, 2018 to Mar 29, 2019
    • Advisory employees · 14 to 13
      Sep 5, 2018 to Mar 29, 2019
    • Charity clients · 1.0 to unset
      Sep 5, 2018 to Mar 29, 2019
    • Corporate clients · 1.0 to unset
      Sep 5, 2018 to Mar 29, 2019
    • HNW clients · 19 to 17
      Sep 5, 2018 to Mar 29, 2019
    • Individual clients · 49 to 47
      Sep 5, 2018 to Mar 29, 2019
    • Employees · 18 to 14
      Sep 5, 2018 to Mar 29, 2019
    • State-registered IARs · 14 to 9
      Sep 5, 2018 to Mar 29, 2019
    • Discretionary RAUM · $352M to $346M
      Sep 5, 2018 to Mar 29, 2019
    • HNW RAUM · $202M to $172M
      Sep 5, 2018 to Mar 29, 2019
    • Individual RAUM · $18.2M to $17.3M
      Sep 5, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $150M to $125M
      Sep 5, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $32.0M to $58.3M
      Sep 5, 2018 to Mar 29, 2019
    • RAUM · $502M to $471M
      Sep 5, 2018 to Mar 29, 2019
    • Wrap assets (manager) · $9.9M to $5.4M
      Sep 5, 2018 to Mar 29, 2019
    • Discretionary RAUM · $451M to $352M
      Mar 28, 2018 to May 18, 2018
    • Non-discretionary RAUM · $51.1M to $150M
      Mar 28, 2018 to May 18, 2018
    • Accounts · 149 to 131
      Sep 29, 2017 to Mar 28, 2018
    • Charity clients · unset to 1.0
      Sep 29, 2017 to Mar 28, 2018
    • Corporate clients · unset to 1.0
      Sep 29, 2017 to Mar 28, 2018
    • HNW clients · unset to 19.0
      Sep 29, 2017 to Mar 28, 2018
    • Individual clients · unset to 49.0
      Sep 29, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 1.0
      Sep 29, 2017 to Mar 28, 2018
    • Assets in custody · 19795923.0 to unset
      Sep 29, 2017 to Mar 28, 2018
    • Custody of client assets · true to false
      Sep 29, 2017 to Mar 28, 2018
    Signals
    5 dated events
    • Cecile Anne Moberg (Chief Operating Officer) no longer on Schedule A of C•••••• C••••••• L•• (listed 2019-10-09, absent 2020-03-27)
      Mar 27, 2020 · Control person left · inference
    • Ashley Matthew Swendiman (Chief Compliance Officer) appeared on Schedule A of C•••••• C••••••• L••
      Oct 9, 2019 · Control person joined · fact
    • D••••• P•••••• H•••• (Chief Compliance Officer) no longer on Schedule A of C•••••• C••••••• L•• (listed 2019-08-29, absent 2019-10-09)
      Oct 9, 2019 · Control person left · inference
    • Cecile Anne Moberg (Chief Operating Officer) appeared on Schedule A of C•••••• C••••••• L••
      Mar 29, 2019 · Control person joined · fact
    • T•• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 25, 2012 · 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