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

V• W••••• A••••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 153278SEC 801-71232IAPD
Latest filing Oct 9, 2023
First filing on the tape Mar 28, 2012 · 134 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
90%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
69
43 advisory (5.B.1)
Offices
17
beyond the principal office
Private funds
0
reported on Schedule D
History
134 filings and snapshots on the tape
RAUM$1.5B as of Mar 21, 2023
Mar 28, 2012$160M then
HNW client RAUM$845M as of Mar 21, 2023
Mar 3, 2018$555M then
State-registered IARs (5.B.3)41 as of Mar 21, 2023
Mar 28, 20120 then
Employees (5.A)75 as of Mar 21, 2023
Mar 28, 201328 then
Private funds: no history
RAUM -15% over the last fiscal year+4.0% a year over threeIARs 43 to 41offices 13 to 17
Practice profile
derived from the filing of Oct 9, 2023; every figure names its basis
RAUM per advisor
$37.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$816,739derivedHNW RAUM over HNW clients
Average account
$319,890derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
2.3derived18 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
-4.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, hourly, fixed fees, subscription, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients
4,700reportedItem 5.H
Wrap fee program
$1.2BreportedItem 5.I
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$845M56%
  • Individuals$524M34%
  • Pension and profit-sharing plans$126M8.3%
  • Corporations and businesses$18.3M1.2%
  • Charitable organizations$5.4M0.4%
Individual clients
3,600reported
HNW clients
1,034reported
Pension plan clients
62reported
Charitable clients
16reported
Accounts
4,746reported
Financial planning clients
4,700reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$0 for 0 clientsreported
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
Left, latest
Joined, latest
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
  • B•••••• T•••••• E••••• · Membercontrol
    since 12/2010 · owns 25% to 50%
  • C•••••• D•••••• D•••••• · Membercontrol
    since 01/2017 · owns 25% to 50%
  • L••••• B••••• A••• · Member/Ccocontrol
    since 12/2010 · owns 25% to 50%
  • C••••••• S••••• P•••••• · Partner
    since 12/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Overland Park, Ks · principal000
Offices
Schedule D 1.F, the 25 largest
  • Overland Park, KS5 employees
  • Manhattan, KS4 employees
  • Overland Park, KS3 employees
  • Ottawa, KS2 employees
  • K••••• City, MO1 employees
  • K••••• City, MO1 employees
  • Lees S•••••, MO1 employees
  • Maize, KS1 employees
  • Overland Park, KS1 employees
  • Sun City West, AZ1 employees
  • Topeka, KS1 employees
  • Wichita, KS1 employees
  • Manhattan, IL1 employees
  • , 1 employees
  • Bartlesville, OK1 employees
  • Chicago, IL1 employees
  • Columbia, MO1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 44 to 43
    Jul 11, 2023 to Oct 9, 2023
  • BD registered reps · 30 to 29
    Jul 11, 2023 to Oct 9, 2023
  • Employees · 70 to 69
    Jul 11, 2023 to Oct 9, 2023
  • State-registered IARs · 42 to 41
    Jul 11, 2023 to Oct 9, 2023
  • Employees · 76 to 70
    Apr 19, 2023 to Jul 11, 2023
  • Advisory employees · 43 to 44
    Mar 21, 2023 to Apr 19, 2023
  • Employees · 75 to 76
    Mar 21, 2023 to Apr 19, 2023
  • State-registered IARs · 41 to 42
    Mar 21, 2023 to Apr 19, 2023
  • Other offices · 16 to 17
    Mar 21, 2023 to Apr 19, 2023
  • Accounts · 4,164 to 4,746
    Feb 27, 2023 to Mar 21, 2023
  • Charity clients · 19 to 16
    Feb 27, 2023 to Mar 21, 2023
  • Corporate clients · 40 to 34
    Feb 27, 2023 to Mar 21, 2023
  • HNW clients · 357 to 1,034
    Feb 27, 2023 to Mar 21, 2023
  • Individual clients · 3,730 to 3,600
    Feb 27, 2023 to Mar 21, 2023
  • Pension plan clients · 18 to 62
    Feb 27, 2023 to Mar 21, 2023
  • Employees · 74 to 75
    Feb 27, 2023 to Mar 21, 2023
  • Discretionary RAUM · $1.8B to $1.4B
    Feb 27, 2023 to Mar 21, 2023
  • HNW RAUM · $824M to $845M
    Feb 27, 2023 to Mar 21, 2023
  • Individual RAUM · $887M to $524M
    Feb 27, 2023 to Mar 21, 2023
  • Non-discretionary RAUM · $0 to $75.0M
    Feb 27, 2023 to Mar 21, 2023
  • Pension RAUM · $45.9M to $126M
    Feb 27, 2023 to Mar 21, 2023
  • RAUM · $1.8B to $1.5B
    Feb 27, 2023 to Mar 21, 2023
  • Advisory employees · 42 to 43
    Dec 21, 2022 to Feb 27, 2023
  • Employees · 73 to 74
    Dec 21, 2022 to Feb 27, 2023
  • State-registered IARs · 40 to 41
    Dec 21, 2022 to Feb 27, 2023
  • Advisory employees · 45 to 42
    Dec 20, 2022 to Dec 21, 2022
  • Employees · 76 to 73
    Dec 20, 2022 to Dec 21, 2022
  • State-registered IARs · 43 to 40
    Dec 20, 2022 to Dec 21, 2022
  • Other offices · 17 to 16
    Oct 10, 2022 to Dec 20, 2022
  • Advisory activities · 4 to 6
    Aug 16, 2022 to Oct 10, 2022
  • Insurance-licensed employees · 43 to 4
    Aug 16, 2022 to Oct 10, 2022
  • State-registered IARs · 2 to 43
    Aug 16, 2022 to Oct 10, 2022
  • Other offices · 16 to 17
    Aug 16, 2022 to Oct 10, 2022
  • Other offices · 13 to 16
    Jul 29, 2022 to Aug 16, 2022
  • Advisory activities · 3 to 4
    Jul 28, 2022 to Jul 29, 2022
  • Advisory employees · 44 to 45
    May 26, 2022 to Jun 29, 2022
  • BD registered reps · 32 to 30
    May 26, 2022 to Jun 29, 2022
  • Employees · 74 to 76
    May 26, 2022 to Jun 29, 2022
  • Insurance-licensed employees · 2 to 43
    May 26, 2022 to Jun 29, 2022
  • State-registered IARs · 44 to 2
    May 26, 2022 to Jun 29, 2022
Signals
12 dated events
  • B•••• A••• L•••• left V• W••••• A••••••• L•• for N•••••• A••••••• (registered 2018-08-22)
    Dec 31, 2023 · Advisor changed firm · fact
  • B••• J• R••••••••• left V• W••••• A••••••• L•• for E••••• J•••• (registered 2023-12-15)
    Oct 9, 2023 · Advisor changed firm · fact
  • D•••• S•••• S••••• left V• W••••• A••••••• L•• for L•• F•••••••• L•• (registered 2019-02-15)
    Jan 25, 2023 · Advisor changed firm · fact
  • E•••••••• A•• T•••••• left V• W••••• A••••••• L•• for C••• L•• (registered 2022-12-05)
    Jan 24, 2023 · Advisor changed firm · fact
  • J•••••• L• W•••• left V• W••••• A••••••• L•• for G••••• P•••••• W••••• (registered 2022-11-13)
    Dec 21, 2022 · Advisor changed firm · fact
  • 2 advisors left V• W••••• A••••••• L•• (Wichita, KS) for G••••• P•••••• W••••• on the same day
    Dec 21, 2022 · Team lift-out · derived
  • M•••• F• M••••• left V• W••••• A••••••• L•• for G••••• P•••••• W••••• (registered 2022-11-13)
    Dec 21, 2022 · Advisor changed firm · fact
  • V• W••••• A••••••• L•• reported 43 state-registered advisory representatives, up from 2 (2022-08-16 to 2022-10-10)
    Oct 10, 2022 · Advisor headcount change · derived
  • V• W••••• A••••••• L•• reported 2 state-registered advisory representatives, down from 44 (2022-05-26 to 2022-06-29)
    Jun 29, 2022 · Advisor headcount change · derived
  • G•••• M•••••• T•••••• left V• W••••• A••••••• L•• for C••• L•• (registered 2022-01-05)
    Feb 3, 2022 · Advisor changed firm · fact
  • V• W••••• A••••••• L•• reported RAUM $1.3B, up 61% from $836.4M (2020-02-21 to 2020-02-27)
    Feb 27, 2020 · RAUM change · derived
  • V• W••••• A••••••• L•• reported RAUM $997.7M, up 59% from $626.3M (2018-01-29 to 2018-03-03)
    Mar 3, 2018 · RAUM change · derived
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