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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L••••• F•••••••• S••••••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 149507SEC 801-100471IAPD
Latest filing Jun 8, 2016
First filing on the tape Mar 13, 2012 · 14 filings
RAUM
$162M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$162M as of Mar 28, 2016
Mar 13, 2012$74.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 9
Employees (5.A): 11
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 8, 2016; every figure names its basis
RAUM per advisor
$18.0MderivedRAUM 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
$139,811derivedRAUM over accounts (5.F.2.f)
Discretionary
82%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
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,159reported
Financial planning clients
101-250reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••• M••••••• W•••• · Ceo, Managing Membercontrol
      since 02/2010 · owns less than 5%
    • L•••• M••••••• W•••• · Manager And Chief Executive Officercontrol
      since 02/2010 · owns 25% to 50% of M•••••• W. L••• I••••••••• Trust
    • N•••••••• N•••••••• S••• · Investment Advisor Representive
      since 01/2016 · owns less than 5%
    • V•••••••• G•••••••• C••••••• · Chief Compliance Officer
      since 10/2013 · owns 10% to 25%
    • W•••• M••••••• V••••••• · Principal, Investment Advisor Representative
      since 03/2015 · owns 10% to 25%
    Entity owners
    • R••••• D• L•••• T•••••• F•• T•• M•••••• W• L••• I••••••••• S••••••••• T•••• · Trust
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Topeka, KS
    What changed
    consecutive filings, newest first
    • Employees · 11 to 12
      Mar 28, 2016 to Jun 8, 2016
    • Accounts · 761 to 1,159
      Feb 11, 2016 to Mar 28, 2016
    • Financial planning clients · 51-100 to 101-250
      Feb 11, 2016 to Mar 28, 2016
    • Discretionary RAUM · $94.5M to $133M
      Feb 11, 2016 to Mar 28, 2016
    • Non-discretionary RAUM · $18.9M to $28.9M
      Feb 11, 2016 to Mar 28, 2016
    • RAUM · $113M to $162M
      Feb 11, 2016 to Mar 28, 2016
    • Advisory employees · 8 to 9
      Jan 5, 2016 to Feb 11, 2016
    • Employees · 10 to 11
      Jan 5, 2016 to Feb 11, 2016
    • State-registered IARs · 8 to 9
      Jan 5, 2016 to Feb 11, 2016
    • Advisory employees · 7 to 8
      Oct 12, 2015 to Jan 5, 2016
    • State-registered IARs · 7 to 8
      Oct 12, 2015 to Jan 5, 2016
    • Accounts · 503 to 761
      Jun 28, 2012 to Jun 29, 2015
    • Advisory employees · unset to 7.0
      Jun 28, 2012 to Jun 29, 2015
    • Advisory activities · 2 to 3
      Jun 28, 2012 to Jun 29, 2015
    • BD registered reps · unset to 0.0
      Jun 28, 2012 to Jun 29, 2015
    • Employees · unset to 10.0
      Jun 28, 2012 to Jun 29, 2015
    • Financial planning clients · 26-50 to 51-100
      Jun 28, 2012 to Jun 29, 2015
    • HQ city · PRAIRIE VILLAGE to OVERLAND PARK
      Jun 28, 2012 to Jun 29, 2015
    • State-registered IARs · unset to 7.0
      Jun 28, 2012 to Jun 29, 2015
    • Discretionary RAUM · $57.7M to $94.5M
      Jun 28, 2012 to Jun 29, 2015
    • Non-discretionary RAUM · $18.2M to $18.9M
      Jun 28, 2012 to Jun 29, 2015
    • RAUM · $75.9M to $113M
      Jun 28, 2012 to Jun 29, 2015
    • Accounts · 465 to 503
      Mar 13, 2012 to Jun 20, 2012
    • Discretionary RAUM · $15.0M to $57.7M
      Mar 13, 2012 to Jun 20, 2012
    • Non-discretionary RAUM · $59.5M to $18.2M
      Mar 13, 2012 to Jun 20, 2012
    • RAUM · $74.5M to $75.9M
      Mar 13, 2012 to Jun 20, 2012
    Signals
    1 dated events
    • L••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 29, 2015 · 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