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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SEC-registered adviser
F•••••••• A••••••
Legal name F•••••••• A•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 13, 2025 · 2 filings
SEC status approved since Dec 12, 2025
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$146M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$148M as of Mar 31, 2026
Nov 13, 2025$128M then
HNW client RAUM$127M as of Mar 31, 2026
Nov 13, 2025$105M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Nov 13, 20252 then
Employees (5.A)4 as of Mar 31, 2026
Nov 13, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $360,925derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M86%
- Individuals$18.6M13%
- Pension and profit-sharing plans$1.3M0.9%
- Corporations and businesses$641,2430.4%
- Individual clients
- 44reported
- HNW clients
- 50reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 409reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• L•• S•• J••• | Kansas City, Mo | Jul 30, 2010 | 27 y | 0 |
| B••• L•••• W••••Certified Financial Planner | Kansas City, Mo | Nov 19, 2025 | 10 y | 0 |
| A••• G•••• B••••• | Kansas City, Mo | Feb 2, 2026 | 13 y | 0 |
| J••••••• A•••••••• M•••• | Kansas City, Mo | Mar 30, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- H••••• R••• E••• S•••• to K••• W••••• A•••••••Nov 19, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•• J•••• T••••• L•• · Managing Member/Chief Compliance Officer/Financial Advisorcontrolsince 02/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kansas City, Mo | 4 | 3 | 0 | ||
| Lenexa, Ks | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 429 to 409Nov 13, 2025 to Mar 31, 2026
- Advisory employees · 2 to 4Nov 13, 2025 to Mar 31, 2026
- Corporate clients · 0 to 1Nov 13, 2025 to Mar 31, 2026
- HNW clients · 69 to 50Nov 13, 2025 to Mar 31, 2026
- Individual clients · 126 to 44Nov 13, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 4Nov 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $128M to $148MNov 13, 2025 to Mar 31, 2026
- HNW RAUM · $105M to $127MNov 13, 2025 to Mar 31, 2026
- Individual RAUM · $21.6M to $18.6MNov 13, 2025 to Mar 31, 2026
- Pension RAUM · $1.3M to $1.3MNov 13, 2025 to Mar 31, 2026
- RAUM · $128M to $148MNov 13, 2025 to Mar 31, 2026
Signals
1 dated events
- H••••• R••• E••• S•••• left F•••••••• A•••••• for K••• W••••• A••••••• (registered 2025-12-16)Nov 19, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- c•••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 913-735-7283reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/financial-avenues-llc/?viewAsMember=trureportedpublic record, Form ADV, Sep 18, 2026
- Website
- MYFINANCIALA••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-735-7283reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026