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
S•••••• A•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Feb 14, 2012 · 31 filings
SEC status approved since Oct 19, 2011
RAUM
$1.5B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$495M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.5B as of Mar 17, 2026
Mar 28, 2012$141M then
HNW client RAUM$1.4B as of Mar 17, 2026
Mar 19, 2018$745M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Mar 17, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+11% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $495MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $96.5MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $243M, 13 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B97%
- Charitable organizations$37.5M2.5%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 527reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $243M for 13 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• R•••••• B••••••• | Overland Park, Ks | Oct 19, 2011 | 17 y | 1 |
| J••••••• L••• K•••• | Overland Park, Ks | Jan 8, 2019 | 10 y | 0 |
| J••• S•••••• B••••• | Overland Park, Ks | May 23, 2022 | 20 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• S•••••• B••••• from P•••••• C•••••• M••••••••• I••May 23, 2022 · Other
- C••• R•••••• B••••••• from T•••• W••••• M•••••••Oct 19, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C•••• R•••••• · Managing Member / Ccocontrolsince 09/2011 · owns 75% or more
- B•••••• S••••• L••• · Membersince 04/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 489 to 527Sep 10, 2025 to Mar 17, 2026
- HNW clients · 13 to 15Sep 10, 2025 to Mar 17, 2026
- Assets in custody · $174M to $243MSep 10, 2025 to Mar 17, 2026
- Employees · 7 to 8Sep 10, 2025 to Mar 17, 2026
- State-registered IARs · 4 to 3Sep 10, 2025 to Mar 17, 2026
- Discretionary RAUM · $1.1B to $1.4BSep 10, 2025 to Mar 17, 2026
- HNW RAUM · $1.2B to $1.4BSep 10, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $107M to $133MSep 10, 2025 to Mar 17, 2026
- RAUM · $1.2B to $1.5BSep 10, 2025 to Mar 17, 2026
- Accounts · 475 to 489Nov 22, 2024 to Mar 13, 2025
- Assets in custody · $160M to $174MNov 22, 2024 to Mar 13, 2025
- Financial planning clients · 11-25 to 11-25Nov 22, 2024 to Mar 13, 2025
- Discretionary RAUM · $1.1B to $1.1BNov 22, 2024 to Mar 13, 2025
- HNW RAUM · $1.2B to $1.2BNov 22, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $110M to $107MNov 22, 2024 to Mar 13, 2025
- RAUM · $1.2B to $1.2BNov 22, 2024 to Mar 13, 2025
- Accounts · 497 to 475Mar 27, 2023 to Mar 21, 2024
- HNW clients · 14 to 13Mar 27, 2023 to Mar 21, 2024
- Assets in custody · $162M to $160MMar 27, 2023 to Mar 21, 2024
- Employees · 6 to 7Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $944M to $1.1BMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $1.1B to $1.2BMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $153M to $110MMar 27, 2023 to Mar 21, 2024
- RAUM · $1.1B to $1.2BMar 27, 2023 to Mar 21, 2024
- Accounts · 388 to 497Oct 24, 2022 to Mar 27, 2023
- HNW clients · 12 to 14Oct 24, 2022 to Mar 27, 2023
- Assets in custody · $166M to $162MOct 24, 2022 to Mar 27, 2023
- Discretionary RAUM · $829M to $944MOct 24, 2022 to Mar 27, 2023
- HNW RAUM · $895M to $1.1BOct 24, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $106M to $153MOct 24, 2022 to Mar 27, 2023
- RAUM · $934M to $1.1BOct 24, 2022 to Mar 27, 2023
- Accounts · 347 to 388Dec 8, 2021 to Mar 29, 2022
- HNW clients · 10 to 12Dec 8, 2021 to Mar 29, 2022
- Assets in custody · $123M to $166MDec 8, 2021 to Mar 29, 2022
- Discretionary RAUM · $517M to $829MDec 8, 2021 to Mar 29, 2022
- HNW RAUM · $574M to $895MDec 8, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $106M to $106MDec 8, 2021 to Mar 29, 2022
- RAUM · $622M to $934MDec 8, 2021 to Mar 29, 2022
- Accounts · 346 to 347Jun 29, 2020 to Mar 22, 2021
- HNW clients · 12 to 10Jun 29, 2020 to Mar 22, 2021
Signals
3 dated events
- S•••••• A•••••••• L•• reported RAUM $934.3M, up 50% from $622.4M (2021-12-08 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S•••••• A•••••••• L•• reported RAUM $622.1M, down 29% from $873.9M (2019-03-26 to 2020-04-06)Apr 6, 2020 · RAUM change · derived
- Paul Jeffrey Rosenthal (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••••••• L•• (listed 2018-03-19, absent 2019-03-26)Mar 26, 2019 · 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
- Business phone
- 913-815-4460reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 913-815-4466reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-815-4460reportedpublic record, Form ADV, Mar 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $495Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026