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Former SEC-registered adviser

F•••••••• R••••••• A•• C••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 151731SEC 801-70714IAPD
Latest filing Sep 3, 2015
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$8.3B
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$8.3B as of Mar 12, 2015
Mar 28, 2012$7.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2015
Mar 28, 20120 then
Employees (5.A)8 as of Mar 12, 2015
Mar 27, 201313 then
Private funds: no history
RAUM -2.9% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 3, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$1.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
pension consulting, 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
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • B••••• J•••• D•••• · Managing Member And Presidentcontrol
        since 08/2009 · owns 75% or more
      • L••••••• J••••• K•••• · Chief Compliance Officer
        since 08/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Kansas City, MO
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 1
        Mar 12, 2015 to Sep 3, 2015
      • Employees · 8 to 2
        Mar 12, 2015 to Sep 3, 2015
      • Advisory employees · 14 to 7
        Mar 28, 2014 to Mar 12, 2015
      • Employees · 16 to 8
        Mar 28, 2014 to Mar 12, 2015
      • Non-discretionary RAUM · $8.5B to $8.3B
        Mar 28, 2014 to Mar 12, 2015
      • RAUM · $8.5B to $8.3B
        Mar 28, 2014 to Mar 12, 2015
      • Advisory employees · 11 to 14
        Apr 24, 2013 to Mar 28, 2014
      • Employees · 13 to 16
        Apr 24, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $8.5B to $8.5B
        Apr 24, 2013 to Mar 28, 2014
      • RAUM · $8.5B to $8.5B
        Apr 24, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $9.0B to $8.5B
        Mar 27, 2013 to Apr 24, 2013
      • RAUM · $9.0B to $8.5B
        Mar 27, 2013 to Apr 24, 2013
      • Advisory employees · unset to 11.0
        Aug 22, 2012 to Mar 27, 2013
      • Employees · unset to 13.0
        Aug 22, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $7.7B to $9.0B
        Aug 22, 2012 to Mar 27, 2013
      • RAUM · $7.7B to $9.0B
        Aug 22, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $7.6B to $7.7B
        Mar 28, 2012 to Aug 22, 2012
      • RAUM · $7.6B to $7.7B
        Mar 28, 2012 to Aug 22, 2012
      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