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

440 Investment Group, LLC

Former SEC-registered adviserOverland Park, KansasCRD 155399SEC 801-71952IAPD
Latest filing Mar 31, 2017
First filing on the tape Dec 14, 2011 · 13 filings
RAUM
$157M
reported, Item 5.F
Discretionary
68%
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$157M as of Mar 31, 2017
Mar 13, 2012$46.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 18, 20131 then
Employees (5.A)4 as of Mar 31, 2017
Mar 18, 20135 then
Private funds: 1
RAUM +62% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$78.3MderivedRAUM 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
$990,964derivedRAUM over accounts (5.F.2.f)
Discretionary
68%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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
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
158reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    440 Partners, LPno longer reportedHedge Fund$20.8M26Dec 14, 2011
    Owners and control persons
    Schedule A and B, latest filing
    • Christopher Brett Kunshek · Membercontrol
      since 02/2015 · owns 5% to 10%
    • Christopher Martin Bicknell · Elected Managercontrol
      since 07/2007 · owns F of Bicknell Family Holding Company, LLC
    • Jenelle Anne Dorian · Chief Compliance Officer
      since 03/2015 · owns less than 5%
    Entity owners
    • Montage Investments, LLC · Managing Member
      direct · owns 75% or more
    • Bicknell Family Holding Company, LLC · Manager
      indirect · owns 75% or more of Mariner Holdings, LLC
    • Mariner Holdings, LLC · Managing Member
      indirect · owns 75% or more of Montage Investments, LLC
    Related persons
    Schedule D 7.A
    Advisers that list 440 Investment Group, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 188 to 158
      Jul 15, 2016 to Mar 31, 2017
    • Advisory employees · 3 to 2
      Jul 15, 2016 to Mar 31, 2017
    • Employees · 5 to 4
      Jul 15, 2016 to Mar 31, 2017
    • Insurance-licensed employees · 1 to 0
      Jul 15, 2016 to Mar 31, 2017
    • HQ city · LEAWOOD to OVERLAND PARK
      Jul 15, 2016 to Mar 31, 2017
    • Discretionary RAUM · $96.8M to $107M
      Jul 15, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $0 to $50.0M
      Jul 15, 2016 to Mar 31, 2017
    • RAUM · $96.8M to $157M
      Jul 15, 2016 to Mar 31, 2017
    • Accounts · 218 to 188
      Mar 4, 2015 to Mar 11, 2016
    • Advisory employees · 4 to 3
      Mar 4, 2015 to Mar 11, 2016
    • Employees · 6 to 5
      Mar 4, 2015 to Mar 11, 2016
    • Discretionary RAUM · $122M to $96.8M
      Mar 4, 2015 to Mar 11, 2016
    • RAUM · $122M to $96.8M
      Mar 4, 2015 to Mar 11, 2016
    • Accounts · 212 to 218
      Jan 30, 2015 to Mar 4, 2015
    • Advisory employees · 3 to 4
      Jan 30, 2015 to Mar 4, 2015
    • Advisory activities · 1 to 2
      Jan 30, 2015 to Mar 4, 2015
    • Insurance-licensed employees · 0 to 1
      Jan 30, 2015 to Mar 4, 2015
    • Discretionary RAUM · $125M to $122M
      Jan 30, 2015 to Mar 4, 2015
    • RAUM · $125M to $122M
      Jan 30, 2015 to Mar 4, 2015
    • Accounts · 198 to 212
      Sep 12, 2014 to Jan 30, 2015
    • Discretionary RAUM · $123M to $125M
      Sep 12, 2014 to Jan 30, 2015
    • RAUM · $123M to $125M
      Sep 12, 2014 to Jan 30, 2015
    • Accounts · 142 to 198
      Mar 18, 2014 to Sep 12, 2014
    • Discretionary RAUM · $95.1M to $123M
      Mar 18, 2014 to Sep 12, 2014
    • RAUM · $95.1M to $123M
      Mar 18, 2014 to Sep 12, 2014
    • Accounts · 54 to 142
      Mar 18, 2013 to Mar 18, 2014
    • Advisory employees · 5 to 3
      Mar 18, 2013 to Mar 18, 2014
    • BD registered reps · 0 to 1
      Mar 18, 2013 to Mar 18, 2014
    • Employees · 5 to 6
      Mar 18, 2013 to Mar 18, 2014
    • Insurance-licensed employees · 1 to 0
      Mar 18, 2013 to Mar 18, 2014
    • State-registered IARs · 1 to 2
      Mar 18, 2013 to Mar 18, 2014
    • Discretionary RAUM · $45.6M to $95.1M
      Mar 18, 2013 to Mar 18, 2014
    • RAUM · $45.6M to $95.1M
      Mar 18, 2013 to Mar 18, 2014
    • Accounts · 18 to 54
      Sep 21, 2012 to Mar 18, 2013
    • Advisory employees · unset to 5.0
      Sep 21, 2012 to Mar 18, 2013
    • Advisory activities · 2 to 1
      Sep 21, 2012 to Mar 18, 2013
    • Assets in custody · 20823695.0 to unset
      Sep 21, 2012 to Mar 18, 2013
    • Custody of client assets · true to false
      Sep 21, 2012 to Mar 18, 2013
    • Employees · unset to 5.0
      Sep 21, 2012 to Mar 18, 2013
    • Insurance-licensed employees · 0 to 1
      Sep 21, 2012 to Mar 18, 2013
    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