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

Central States Capital Markets, LLC

Former SEC-registered adviserPrairie Village, KansasCRD 155291SEC 801-79295IAPD
Latest filing Nov 30, 2016
First filing on the tape Feb 26, 2014 · 14 filings
RAUM
$19.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$4.9M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$19.8M as of Nov 30, 2016
Feb 26, 2014$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Nov 30, 2016
Feb 26, 20142 then
Employees (5.A)4 as of Nov 30, 2016
Feb 26, 20143 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 30, 2016; every figure names its basis
RAUM per advisor
$4.9MderivedRAUM 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
$403,387derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
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
49reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Curtis BrownfieldPrairie Village, KsMay 5, 201619 y1
Benjamin Robert YoungWest Des Moines, Ia Nov 21, 201724 y3
Jeremy Thomas DunningPrairie Village, KsMar 13, 202415 y0
Justin Bryce LawhonWichita, KsSep 16, 202511 y1
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Terry Owen Everson · Cfocontrol
    since 09/2010 · owns less than 5%
  • Dale Robert Pfeifer · Chief Compliance Officercontrol
    since 03/2016 · owns less than 5%
  • John Daniel Stepp · Managing Director, Ceo; Elected Managercontrol
    since 09/2010 · owns less than 5%
  • John Daniel Stepp · Elected Managercontrol
    since 09/2010 · owns F of Central States Financial Services, LLC
  • Michael Alan Horton · Director, Branch Manager
    since 09/2010 · owns less than 5%
  • Stephen Jay Freidell · Member
    since 09/2010 · owns F of Central States Financial Services, LLC
  • Michael Alan Horton · Member
    since 09/2010 · owns F of Central States Financial Services, LLC
  • James Michael Mclaughlin · Member
    since 09/2010 · owns F of Central States Financial Services, LLC
  • Casey Patrick Mcliney · Member
    since 09/2010 · owns 75% or more of Central States Financial Services, LLC
Entity owners
  • Central States Financial Services, LLC · Holding Company; Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Central States Capital Markets, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Prairie Village, Ks · principal301
Wichita, Ks100
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Insurance-licensed employees · 0 to 1
    Aug 25, 2016 to Sep 27, 2016
  • BD registered reps · 1 to 3
    Jun 9, 2016 to Aug 25, 2016
  • Employees · 2 to 4
    Jun 9, 2016 to Aug 25, 2016
  • State-registered IARs · 2 to 4
    Jun 9, 2016 to Aug 25, 2016
  • BD registered reps · 0 to 1
    Apr 7, 2016 to Jun 9, 2016
  • Employees · 1 to 2
    Apr 7, 2016 to Jun 9, 2016
  • State-registered IARs · 1 to 2
    Apr 7, 2016 to Jun 9, 2016
  • Accounts · 56 to 49
    Mar 11, 2016 to Apr 7, 2016
  • Advisory employees · 2 to 1
    Mar 11, 2016 to Apr 7, 2016
  • BD registered reps · 2 to 0
    Mar 11, 2016 to Apr 7, 2016
  • Commission compensation · true to false
    Mar 11, 2016 to Apr 7, 2016
  • Employees · 2 to 1
    Mar 11, 2016 to Apr 7, 2016
  • State-registered IARs · 2 to 1
    Mar 11, 2016 to Apr 7, 2016
  • Discretionary RAUM · $79.9M to $19.8M
    Mar 11, 2016 to Apr 7, 2016
  • RAUM · $79.9M to $19.8M
    Mar 11, 2016 to Apr 7, 2016
  • Discretionary RAUM · $104M to $79.9M
    Sep 3, 2015 to Mar 11, 2016
  • RAUM · $104M to $79.9M
    Sep 3, 2015 to Mar 11, 2016
  • Accounts · 90 to 56
    Aug 28, 2015 to Sep 3, 2015
  • Discretionary RAUM · $218M to $104M
    Aug 28, 2015 to Sep 3, 2015
  • RAUM · $218M to $104M
    Aug 28, 2015 to Sep 3, 2015
  • Accounts · 43 to 90
    Aug 26, 2015 to Aug 28, 2015
  • Advisory employees · 3 to 2
    Aug 26, 2015 to Aug 28, 2015
  • Advisory activities · 3 to 2
    Aug 26, 2015 to Aug 28, 2015
  • Employees · 3 to 2
    Aug 26, 2015 to Aug 28, 2015
  • Discretionary RAUM · $258M to $218M
    Aug 26, 2015 to Aug 28, 2015
  • RAUM · $258M to $218M
    Aug 26, 2015 to Aug 28, 2015
  • Related adviser · false to true
    Feb 26, 2014 to Mar 7, 2014
Signals
3 dated events
  • Omar Ganoom left Central States Capital Markets, Llc for Sb Advisory, Llc (registered 2026-09-01)
    Aug 31, 2026 · Advisor changed firm · fact
  • Corey Dale Reece left Central States Capital Markets, Llc for Wells Fargo Advisors (registered 2024-11-21)
    Oct 9, 2024 · Advisor changed firm · fact
  • Central States Capital Markets, Llc filed its initial SEC registration (Form ADV)
    Feb 26, 2014 · First SEC registration · 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
Website
myCSCM.COMreportedpublic record, Form ADV, Sep 17, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$4.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026