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
A•••• I••••••••• A•••••••• L••
Latest filing May 6, 2026
First filing on the tape Mar 19, 2012 · 50 filings
SEC status approved since Jan 3, 2011
RAUM
$73.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.4M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$9.2M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$73.6M as of May 6, 2026
Mar 19, 2012$273,531 then
HNW client RAUM$12.0M as of May 6, 2026
Mar 22, 2018$3.2M then
State-registered IARs (5.B.3)9 as of May 6, 2026
Mar 19, 20120 then
Employees (5.A)9 as of May 6, 2026
Feb 19, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 8 to 9offices 1 to 3
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $9.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $93,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $73.0M, 383 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$61.4M83%
- High-net-worth individuals$12.0M16%
- Charitable organizations$224,7850.3%
- Individual clients
- 375reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 788reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.0M for 383 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- K••••••• J••• S•••••• to C••••• F•••••••• N••••••• L••Nov 1, 2024 · RIA to RIA
- A••• P•••••• G••••• to A••••• A•••••••Sep 1, 2022 · RIA to RIA
- D•••• W•••••• B••• to M••••• I••••••••• L••Oct 30, 2018 · RIA to RIA
Joined, latest
- K••••••• J••• S•••••• from S••••• F•••••••• S•••••••• I•••Dec 6, 2023 · RIA to RIA
- A••• P•••••• G••••• from S••••• F•••••••• S•••••••• I•••Nov 5, 2020 · RIA to RIA
- D•••• W•••••• B••• from S••••• F•••••••• S•••••••• I•••Dec 1, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• T•••••• S•• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- F••••• J•••• C••••••••• · Principalcontrolsince 01/2016 · owns F of S••••• F•••••••• S•••••••• I•••
- K•••••• J••••••• A•• · Principalcontrolsince 10/2010 · owns F of S••••• F•••••••• S•••••••• I•••
- S••••••• M•••••• C•••••• · Principalcontrolsince 11/2010 · owns 50% to 75% of S••••• F•••••••• S•••••••• I•••
- B•••••• R•••• W•••• · Principalsince 01/2019 · owns F of S••••• F•••••••• S•••••••• I•••
Entity owners
- S••••• F•••••••• S•••••••• I••• · Member And Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• F•••••••• S•••••••• I•••investment adviseryRAUM $514M
Advisers that list A•••• I••••••••• A•••••••• L•• as a related person
- 105807 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 8 | 2 | 0 | ||
| Saratoga Springs, Ut | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saratoga Springs, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 3Apr 17, 2026 to May 6, 2026
- Accounts · 745 to 788May 27, 2025 to Mar 26, 2026
- Advisory employees · 8 to 9May 27, 2025 to Mar 26, 2026
- HNW clients · 6 to 7May 27, 2025 to Mar 26, 2026
- Individual clients · 376 to 375May 27, 2025 to Mar 26, 2026
- Assets in custody · $59.0M to $73.0MMay 27, 2025 to Mar 26, 2026
- Employees · 8 to 9May 27, 2025 to Mar 26, 2026
- Insurance-licensed employees · 8 to 9May 27, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 26-50May 27, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 9May 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $59.8M to $73.6MMay 27, 2025 to Mar 26, 2026
- HNW RAUM · $9.2M to $12.0MMay 27, 2025 to Mar 26, 2026
- Individual RAUM · $50.3M to $61.4MMay 27, 2025 to Mar 26, 2026
- RAUM · $59.8M to $73.6MMay 27, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Mar 4, 2025 to May 27, 2025
- Accounts · 752 to 745Aug 8, 2024 to Mar 4, 2025
- Advisory employees · 7 to 8Aug 8, 2024 to Mar 4, 2025
- HNW clients · 11 to 6Aug 8, 2024 to Mar 4, 2025
- Individual clients · 349 to 376Aug 8, 2024 to Mar 4, 2025
- Assets in custody · $51.0M to $59.0MAug 8, 2024 to Mar 4, 2025
- Employees · 7 to 8Aug 8, 2024 to Mar 4, 2025
- Insurance-licensed employees · 7 to 8Aug 8, 2024 to Mar 4, 2025
- State-registered IARs · 7 to 8Aug 8, 2024 to Mar 4, 2025
- Other offices · 2 to 1Aug 8, 2024 to Mar 4, 2025
- Discretionary RAUM · $51.3M to $59.8MAug 8, 2024 to Mar 4, 2025
- HNW RAUM · $11.5M to $9.2MAug 8, 2024 to Mar 4, 2025
- Individual RAUM · $39.4M to $50.3MAug 8, 2024 to Mar 4, 2025
- RAUM · $51.3M to $59.8MAug 8, 2024 to Mar 4, 2025
- Accounts · 754 to 752Nov 17, 2023 to Feb 7, 2024
- Advisory employees · 6 to 7Nov 17, 2023 to Feb 7, 2024
- HNW clients · 19 to 11Nov 17, 2023 to Feb 7, 2024
- Individual clients · 370 to 349Nov 17, 2023 to Feb 7, 2024
- Assets in custody · $43.0M to $51.0MNov 17, 2023 to Feb 7, 2024
- Employees · 6 to 7Nov 17, 2023 to Feb 7, 2024
- Insurance-licensed employees · 6 to 7Nov 17, 2023 to Feb 7, 2024
- State-registered IARs · 6 to 7Nov 17, 2023 to Feb 7, 2024
- Other offices · 1 to 2Nov 17, 2023 to Feb 7, 2024
- Discretionary RAUM · $43.4M to $51.3MNov 17, 2023 to Feb 7, 2024
- HNW RAUM · $12.6M to $11.5MNov 17, 2023 to Feb 7, 2024
- Individual RAUM · $30.5M to $39.4MNov 17, 2023 to Feb 7, 2024
Signals
4 dated events
- K••••••• J••• S•••••• left A•••• I••••••••• A•••••••• L•• for C••••• F•••••••• N••••••• L•• (registered 2025-02-10)Nov 1, 2024 · Advisor changed firm · fact
- Sue Tamara Stelting (Chief Compliance Officer) appeared on Schedule A of A•••• I••••••••• A•••••••• L••Aug 8, 2024 · Control person joined · fact
- A••• P•••••• G••••• left A•••• I••••••••• A•••••••• L•• for A••••• A••••••• (registered 2022-09-20)Sep 1, 2022 · Advisor changed firm · fact
- John Michael Searcy (President) no longer on Schedule A of A•••• I••••••••• A•••••••• L•• (listed 2021-11-12, absent 2022-01-25)Jan 25, 2022 · Control person left · inference
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
- Firm profile
- linkedin.com/company/allos-investment-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-948-7788reportedpublic record, Form ADV, May 6, 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
- $9.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026