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.

Former SEC-registered adviser

Prairie Capital Management, LLC

Former SEC-registered adviserKansas City, MissouriCRD 153588SEC 801-71609IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$4.6B
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
32%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
35 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
37
$1.4B gross assets
History
19 filings and snapshots on the tape
RAUM$4.6B as of Mar 31, 2021
Mar 30, 2012$3.1B then
HNW client RAUM$1.5B as of Mar 31, 2021
Mar 31, 2018$1.2B then
State-registered IARs (5.B.3)19 as of Mar 31, 2021
Apr 1, 201316 then
Employees (5.A)35 as of Mar 31, 2021
Apr 1, 201336 then
Private funds37 as of Mar 31, 2021
Mar 30, 201215 then
RAUM -7.9% over the last fiscal year+6.1% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$244MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
31%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
6.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-7.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
$1.4B, 37 clientsreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.5B32%
  • Pooled investment vehicles$1.4B30%
  • Charitable organizations$1.1B23%
  • Corporations and businesses$676M15%
  • Insurance companies$25.4M0.5%
  • Pension and profit-sharing plans$4.3M0.1%
Individual clients
n/areported
HNW clients
391reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,157reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 37 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Flint Hills Sq Opportunity Fund L.P.no longer reportedOther Private Fund$48.7M40Mar 30, 2012
    Flint Hills Private Equity Co-Investment I L.P.no longer reportedPrivate Equity Fund$7.2M28Mar 30, 2012
    Flint Hills Tech Investments L.P.no longer reportedPrivate Equity Fund$95,62543Mar 30, 2012
    Flint Hills Woodford Co-Invest L.P.Private Equity Fund$15,32854Mar 31, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • Mueller Michael Gentry · Senior Vice President, Managing Directorcontrol
      since 10/2016 · owns less than 5%
    • Lee Timothy Hattey · Senior Vice President, Coo, Ccocontrol
      since 07/2010 · owns less than 5%
    • Nelson Brian Kaufman · President, Chief Executive Officer, Managing Director, Elected Managercontrol
      since 07/2010 · owns less than 5%
    • Mariner John Kemper · Director, Elected Managercontrol
      since 05/2010 · owns less than 5%
    • Simon Andrew Klocke · Senior Vice President, Managing Directorcontrol
      since 07/2010 · owns less than 5%
    • Alan Curtis Krizek · Chairman Of The Board, Managing Director, Elected Managercontrol
      since 07/2010 · owns less than 5%
    • Charles John Pauls · Secretarycontrol
      since 06/2010 · owns less than 5%
    • M Jennifer Payne · Director, Elected Managercontrol
      since 04/2016 · owns less than 5%
    • Richard Robyn Schneider · Vice Chairman Of The Board, Managing Director, Elected Managercontrol
      since 07/2010 · owns less than 5%
    Entity owners
    • Umb Financial Corporation · Member
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    • Pcm Capital - Activist Strategies LLC
      pooled vehicle sponsorn
    • Pcm Capital - Aep Co-Invest LLC
      pooled vehicle sponsorn
    • Pcm Capital - Ascent Co-Invest II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Bh New Opportunity 2015 Fund LLC
      pooled vehicle sponsorn
    • Pcm Capital - Cec Opportunity II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Cec Opportunity LLC
      pooled vehicle sponsorn
    • Pcm Capital - Concentrated Global L/S LLC
      pooled vehicle sponsorn
    • Pcm Capital - Credit Opportunities II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Credit Opportunities III LLC
      pooled vehicle sponsorn
    • Pcm Capital - Credit Opportunities, LLC
      pooled vehicle sponsorn
    • Pcm Capital - Cybersecurity LLC
      pooled vehicle sponsorn
    • Pcm Capital - Diversified Strategies LLC
      pooled vehicle sponsorn
    • Pcm Capital - Elliott Co-Invest LLC
      pooled vehicle sponsorn
    • Pcm Capital - Emg Opportunity II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Emg Opportunity LLC
      pooled vehicle sponsorn
    • Pcm Capital - Founders II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Founders LLC
      pooled vehicle sponsorn
    • Pcm Capital - Kissner Co-Invest 2020 LLC
      pooled vehicle sponsorn
    • Pcm Capital - Kissner Co-Invest LLC
      pooled vehicle sponsorn
    • Pcm Capital - Long/Short Equity LLC
      pooled vehicle sponsorn
    • Pcm Capital - Managed Equity Fund I LLC
      pooled vehicle sponsorn
    • Pcm Capital - Pcm Fund II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Permian Co-Invest II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Permian Co-Invest III LLC
      pooled vehicle sponsorn
    • Pcm Capital - Permian Co-Invest IV LLC
      pooled vehicle sponsorn
    • Pcm Capital - Permian Co-Invest LLC
      pooled vehicle sponsorn
    • Pcm Capital - Plains Co-Invest LLC
      pooled vehicle sponsorn
    • Pcm Capital - Private Equity Co-Investment I LLC
      pooled vehicle sponsorn
    • Pcm Capital - Private Equity II LLC
      pooled vehicle sponsorn
    • Pcm Capital - Private Equity III LLC
      pooled vehicle sponsorn
    Advisers that list Prairie Capital Management, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Oakbrook Terrace, IL2 employees
    • Dallas, TX1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,986 to 2,157
      Jun 26, 2020 to Mar 31, 2021
    • Advisory employees · 37 to 35
      Jun 26, 2020 to Mar 31, 2021
    • Assets in custody · $1.5B to $1.4B
      Jun 26, 2020 to Mar 31, 2021
    • Employees · 37 to 35
      Jun 26, 2020 to Mar 31, 2021
    • Discretionary RAUM · $1.5B to $1.4B
      Jun 26, 2020 to Mar 31, 2021
    • HNW RAUM · $1.9B to $1.5B
      Jun 26, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $3.5B to $3.2B
      Jun 26, 2020 to Mar 31, 2021
    • Pension RAUM · $4.4M to $4.3M
      Jun 26, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $1.5B to $1.4B
      Jun 26, 2020 to Mar 31, 2021
    • RAUM · $5.0B to $4.6B
      Jun 26, 2020 to Mar 31, 2021
    • Accounts · 1,542 to 1,986
      Jul 30, 2019 to Mar 31, 2020
    • Corporate clients · 38 to 37
      Jul 30, 2019 to Mar 31, 2020
    • HNW clients · 398 to 391
      Jul 30, 2019 to Mar 31, 2020
    • Pooled vehicle clients · 34 to 37
      Jul 30, 2019 to Mar 31, 2020
    • Assets in custody · $1.4B to $1.5B
      Jul 30, 2019 to Mar 31, 2020
    • Private funds · 34 to 37
      Jul 30, 2019 to Mar 31, 2020
    • Discretionary RAUM · $1.5B to $1.5B
      Jul 30, 2019 to Mar 31, 2020
    • HNW RAUM · $1.5B to $1.9B
      Jul 30, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $3.0B to $3.5B
      Jul 30, 2019 to Mar 31, 2020
    • Pension RAUM · $161M to $4.4M
      Jul 30, 2019 to Mar 31, 2020
    • Pooled vehicle RAUM · $1.4B to $1.5B
      Jul 30, 2019 to Mar 31, 2020
    • RAUM · $4.5B to $5.0B
      Jul 30, 2019 to Mar 31, 2020
    • Accounts · 1,531 to 1,542
      Apr 20, 2018 to Mar 28, 2019
    • Advisory employees · 35 to 37
      Apr 20, 2018 to Mar 28, 2019
    • BD registered reps · 17 to 18
      Apr 20, 2018 to Mar 28, 2019
    • Corporate clients · 48 to 38
      Apr 20, 2018 to Mar 28, 2019
    • HNW clients · 407 to 398
      Apr 20, 2018 to Mar 28, 2019
    • Pooled vehicle clients · 32 to 34
      Apr 20, 2018 to Mar 28, 2019
    • Assets in custody · $1.6B to $1.4B
      Apr 20, 2018 to Mar 28, 2019
    • Employees · 35 to 37
      Apr 20, 2018 to Mar 28, 2019
    • State-registered IARs · 18 to 19
      Apr 20, 2018 to Mar 28, 2019
    • Private funds · 32 to 34
      Apr 20, 2018 to Mar 28, 2019
    • Discretionary RAUM · $1.4B to $1.5B
      Apr 20, 2018 to Mar 28, 2019
    • HNW RAUM · $1.2B to $1.5B
      Apr 20, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $2.4B to $3.0B
      Apr 20, 2018 to Mar 28, 2019
    • Pension RAUM · $131M to $161M
      Apr 20, 2018 to Mar 28, 2019
    • Pooled vehicle RAUM · $1.4B to $1.4B
      Apr 20, 2018 to Mar 28, 2019
    • RAUM · $3.9B to $4.5B
      Apr 20, 2018 to Mar 28, 2019
    • Accounts · 1,859 to 1,531
      Apr 26, 2017 to Mar 31, 2018
    • Corporate clients · unset to 48.0
      Apr 26, 2017 to Mar 31, 2018
    Signals
    1 dated events
    • Joseph Anthony Fischer (Director, Elected Manager) no longer on Schedule A of Prairie Capital Management, Llc (listed 2018-04-20, absent 2019-03-28)
      Mar 28, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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