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

S••••• C•••••• M••••••••• L••

Former SEC-registered adviserLeawood, KansasCRD 150313SEC 801-70176IAPD
Latest filing May 24, 2019
First filing on the tape Jan 30, 2012 · 11 filings
RAUM
$90.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$21.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$73.2M as of Mar 26, 2019
Jan 30, 2012$108M then
HNW client RAUM$17.6M as of Mar 26, 2019
Mar 29, 2018$43.6M then
State-registered IARs (5.B.3)3 as of Mar 26, 2019
Mar 7, 20132 then
Employees (5.A)5 as of Mar 26, 2019
Mar 7, 20135 then
Private funds: no history
RAUM -3.3% over the last fiscal year-14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 24, 2019; every figure names its basis
RAUM per advisor
$30.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$715,194derivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-28%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$69.0M76%
  • High-net-worth individuals$20.0M22%
  • Individuals$1.6M1.8%
  • Charitable organizations$198,4830.2%
Individual clients
13reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
48reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••••• P•••••• A•• · Managing Member; President; Chief Operating Officercontrol
    since 05/2009 · owns 10% to 25%
  • M•••••••• J••••• C•••• · Chief Compliance Officercontrol
    since 07/2016 · owns less than 5%
  • O••••••• R••••• M••••• · Managing Member; Executive Vice President; Portfolio Managercontrol
    since 05/2009 · owns 10% to 25%
  • F••••••• J••••• E•••• · Trusteecontrol
    since 05/1978 · owns F of J•••• E• F•••••• R•••••••• T••••
Entity owners
  • J•••• E• F•••••• R•••••••• T•••• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
  • J•••• E• F•••••• R•••••••• T••••
    pooled vehicle sponsory
  • K•• B•••
    n
  • M•••••• L••
    n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 53 to 48
    Mar 26, 2019 to May 24, 2019
  • HNW clients · 32 to 28
    Mar 26, 2019 to May 24, 2019
  • Individual clients · 14 to 13
    Mar 26, 2019 to May 24, 2019
  • Discretionary RAUM · $73.2M to $90.8M
    Mar 26, 2019 to May 24, 2019
  • HNW RAUM · $17.6M to $20.0M
    Mar 26, 2019 to May 24, 2019
  • Individual RAUM · $1.5M to $1.6M
    Mar 26, 2019 to May 24, 2019
  • RAUM · $73.2M to $90.8M
    Mar 26, 2019 to May 24, 2019
  • Accounts · 72 to 53
    Mar 29, 2018 to Mar 26, 2019
  • Corporate clients · 7 to 6
    Mar 29, 2018 to Mar 26, 2019
  • HNW clients · 49 to 32
    Mar 29, 2018 to Mar 26, 2019
  • Individual clients · 15 to 14
    Mar 29, 2018 to Mar 26, 2019
  • Discretionary RAUM · $93.9M to $73.2M
    Mar 29, 2018 to Mar 26, 2019
  • HNW RAUM · $43.6M to $17.6M
    Mar 29, 2018 to Mar 26, 2019
  • Individual RAUM · $1.8M to $1.5M
    Mar 29, 2018 to Mar 26, 2019
  • RAUM · $93.9M to $73.2M
    Mar 29, 2018 to Mar 26, 2019
  • Accounts · 99 to 72
    Mar 28, 2017 to Mar 29, 2018
  • Advisory employees · 1 to 3
    Mar 28, 2017 to Mar 29, 2018
  • Charity clients · unset to 1.0
    Mar 28, 2017 to Mar 29, 2018
  • Corporate clients · unset to 7.0
    Mar 28, 2017 to Mar 29, 2018
  • HNW clients · unset to 49.0
    Mar 28, 2017 to Mar 29, 2018
  • Individual clients · unset to 15.0
    Mar 28, 2017 to Mar 29, 2018
  • State-registered IARs · 1 to 3
    Mar 28, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 28, 2017 to Mar 29, 2018
  • Discretionary RAUM · $118M to $93.9M
    Mar 28, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 43596294.0
    Mar 28, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 1847436.0
    Mar 28, 2017 to Mar 29, 2018
  • RAUM · $118M to $93.9M
    Mar 28, 2017 to Mar 29, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 28, 2017 to Mar 29, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 28, 2017 to Mar 29, 2018
  • Accounts · 121 to 99
    Jul 15, 2016 to Mar 28, 2017
  • Advisory employees · 3 to 1
    Jul 15, 2016 to Mar 28, 2017
  • State-registered IARs · 3 to 1
    Jul 15, 2016 to Mar 28, 2017
  • Discretionary RAUM · $145M to $118M
    Jul 15, 2016 to Mar 28, 2017
  • RAUM · $145M to $118M
    Jul 15, 2016 to Mar 28, 2017
  • Accounts · 112 to 121
    Mar 26, 2015 to Mar 24, 2016
  • Advisory activities · 3 to 4
    Mar 26, 2015 to Mar 24, 2016
  • Employees · 6 to 5
    Mar 26, 2015 to Mar 24, 2016
  • Discretionary RAUM · $196M to $145M
    Mar 26, 2015 to Mar 24, 2016
  • RAUM · $196M to $145M
    Mar 26, 2015 to Mar 24, 2016
  • Accounts · 96 to 112
    Mar 12, 2014 to Mar 26, 2015
Signals
No event on the tape.
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