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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Former SEC-registered adviser

K•••• C•••••• P•••••••• L••

Former SEC-registered adviserLeawood, KansasCRD 155805SEC 801-72079IAPD
Latest filing Oct 27, 2020
First filing on the tape Nov 16, 2011 · 20 filings
RAUM
$682M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$628M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$682M as of Mar 16, 2020
Mar 30, 2012$214M then
HNW client RAUM$471M as of Mar 16, 2020
Mar 15, 2018$487M then
State-registered IARs (5.B.3)4 as of Mar 16, 2020
Mar 30, 20120 then
Employees (5.A)5 as of Mar 16, 2020
Mar 11, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+8.7% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Oct 27, 2020; every figure names its basis
RAUM per advisor
$171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$742,334derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$328M, 201 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$471M69%
  • Individuals$157M23%
  • Corporations and businesses$43.9M6.4%
  • Charitable organizations$10.7M1.6%
Individual clients
198reported
HNW clients
136reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
919reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$328M for 201 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• T••• S• · Executive Vice President, Membercontrol
      since 10/2013 · owns 10% to 25%
    • C•••••••• S•••••••• C•••••••• · Chief Compliance Officer, Membercontrol
      since 01/2011 · owns 5% to 10%
    • C•••••• D••••••• G••••• · Ceo, Managing Membercontrol
      since 01/2011 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 989 to 919
      Oct 18, 2019 to Mar 16, 2020
    • Charity clients · unset to 1.0
      Oct 18, 2019 to Mar 16, 2020
    • Corporate clients · unset to 1.0
      Oct 18, 2019 to Mar 16, 2020
    • HNW clients · 115 to 136
      Oct 18, 2019 to Mar 16, 2020
    • Individual clients · 219 to 198
      Oct 18, 2019 to Mar 16, 2020
    • Pension plan clients · unset to 0.0
      Oct 18, 2019 to Mar 16, 2020
    • Pooled vehicle clients · unset to 0.0
      Oct 18, 2019 to Mar 16, 2020
    • Assets in custody · $297M to $328M
      Oct 18, 2019 to Mar 16, 2020
    • Discretionary RAUM · $549M to $681M
      Oct 18, 2019 to Mar 16, 2020
    • HNW RAUM · $442M to $471M
      Oct 18, 2019 to Mar 16, 2020
    • Individual RAUM · $64.8M to $157M
      Oct 18, 2019 to Mar 16, 2020
    • Non-discretionary RAUM · $7.8M to $1.4M
      Oct 18, 2019 to Mar 16, 2020
    • Pension RAUM · unset to 0.0
      Oct 18, 2019 to Mar 16, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Oct 18, 2019 to Mar 16, 2020
    • RAUM · $557M to $682M
      Oct 18, 2019 to Mar 16, 2020
    • Advisory employees · 5 to 4
      Mar 4, 2019 to Oct 18, 2019
    • Employees · 6 to 5
      Mar 4, 2019 to Oct 18, 2019
    • State-registered IARs · 5 to 4
      Mar 4, 2019 to Oct 18, 2019
    • Accounts · 968 to 989
      Nov 26, 2018 to Mar 4, 2019
    • HNW clients · 127 to 115
      Nov 26, 2018 to Mar 4, 2019
    • Individual clients · 183 to 219
      Nov 26, 2018 to Mar 4, 2019
    • Pension plan clients · 8.0 to unset
      Nov 26, 2018 to Mar 4, 2019
    • Assets in custody · $291M to $297M
      Nov 26, 2018 to Mar 4, 2019
    • Employees · 5 to 6
      Nov 26, 2018 to Mar 4, 2019
    • State-registered IARs · 3 to 5
      Nov 26, 2018 to Mar 4, 2019
    • Discretionary RAUM · $592M to $549M
      Nov 26, 2018 to Mar 4, 2019
    • HNW RAUM · $487M to $442M
      Nov 26, 2018 to Mar 4, 2019
    • Individual RAUM · $48.4M to $64.8M
      Nov 26, 2018 to Mar 4, 2019
    • Non-discretionary RAUM · $8.1M to $7.8M
      Nov 26, 2018 to Mar 4, 2019
    • Pension RAUM · 21203126.0 to unset
      Nov 26, 2018 to Mar 4, 2019
    • RAUM · $600M to $557M
      Nov 26, 2018 to Mar 4, 2019
    • Accounts · 931 to 968
      Mar 23, 2017 to Mar 15, 2018
    • Advisory employees · 4 to 5
      Mar 23, 2017 to Mar 15, 2018
    • HNW clients · unset to 127.0
      Mar 23, 2017 to Mar 15, 2018
    • Individual clients · unset to 183.0
      Mar 23, 2017 to Mar 15, 2018
    • Pension plan clients · unset to 8.0
      Mar 23, 2017 to Mar 15, 2018
    • Assets in custody · unset to 291253813.0
      Mar 23, 2017 to Mar 15, 2018
    • Custody of client assets · false to true
      Mar 23, 2017 to Mar 15, 2018
    • Employees · 6 to 5
      Mar 23, 2017 to Mar 15, 2018
    • Financial planning clients · 0 to unset
      Mar 23, 2017 to Mar 15, 2018
    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