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
I••••••••• C•••••• A•••••••• L••
Latest filing Jan 29, 2026
First filing on the tape May 24, 2012 · 24 filings
SEC status approved since Jun 19, 2012
RAUM
$619M
reported, Item 5.F
Discretionary
100%
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$619M as of Jan 29, 2026
Feb 15, 2013$248M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2026
Feb 15, 20130 then
Employees (5.A)7 as of Jan 29, 2026
Feb 15, 20135 then
Private funds: no history
RAUM -1.6% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM 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
- $24.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$619M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P••••• S••••••• · Member And Chief Compliance Officercontrolsince 03/2012 · owns 25% to 50%
- O••••• D••••• E•••••• · Membercontrolsince 08/2002 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Leawood, KS2 employees
What changed
consecutive filings, newest first
- Accounts · 24 to 25Feb 12, 2025 to Jan 29, 2026
- Discretionary RAUM · $629M to $619MFeb 12, 2025 to Jan 29, 2026
- RAUM · $629M to $619MFeb 12, 2025 to Jan 29, 2026
- Accounts · 26 to 24Aug 8, 2024 to Feb 12, 2025
- Financial planning clients · unset to Aug 8, 2024 to Feb 12, 2025
- Discretionary RAUM · $655M to $629MAug 8, 2024 to Feb 12, 2025
- RAUM · $655M to $629MAug 8, 2024 to Feb 12, 2025
- Accounts · 28 to 26Jan 18, 2023 to Jan 26, 2024
- Employees · 8 to 7Jan 18, 2023 to Jan 26, 2024
- Discretionary RAUM · $661M to $655MJan 18, 2023 to Jan 26, 2024
- RAUM · $661M to $655MJan 18, 2023 to Jan 26, 2024
- Discretionary RAUM · $595M to $661MJan 26, 2022 to Jan 18, 2023
- RAUM · $595M to $661MJan 26, 2022 to Jan 18, 2023
- Accounts · 30 to 28Feb 4, 2021 to Jan 26, 2022
- Discretionary RAUM · $544M to $595MFeb 4, 2021 to Jan 26, 2022
- RAUM · $544M to $595MFeb 4, 2021 to Jan 26, 2022
- Discretionary RAUM · $505M to $544MFeb 18, 2020 to Feb 4, 2021
- RAUM · $505M to $544MFeb 18, 2020 to Feb 4, 2021
- Discretionary RAUM · $385M to $505MMar 4, 2019 to Feb 18, 2020
- RAUM · $385M to $505MMar 4, 2019 to Feb 18, 2020
- Accounts · 27 to 30Aug 27, 2018 to Mar 4, 2019
- Discretionary RAUM · $363M to $385MAug 27, 2018 to Mar 4, 2019
- RAUM · $363M to $385MAug 27, 2018 to Mar 4, 2019
- Employees · 9 to 8Jan 23, 2017 to Mar 19, 2018
- Other offices · unset to 1.0Jan 23, 2017 to Mar 19, 2018
- Discretionary RAUM · $315M to $363MJan 23, 2017 to Mar 19, 2018
- RAUM · $315M to $363MJan 23, 2017 to Mar 19, 2018
- Accounts · 19 to 27Jan 21, 2016 to Jan 23, 2017
- Discretionary RAUM · $294M to $315MJan 21, 2016 to Jan 23, 2017
- RAUM · $294M to $315MJan 21, 2016 to Jan 23, 2017
- Employees · 5 to 9Jun 24, 2015 to Jan 21, 2016
- Discretionary RAUM · $265M to $294MJun 24, 2015 to Jan 21, 2016
- RAUM · $265M to $294MJun 24, 2015 to Jan 21, 2016
- Discretionary RAUM · $263M to $265MSep 3, 2014 to Jan 23, 2015
- RAUM · $263M to $265MSep 3, 2014 to Jan 23, 2015
- Discretionary RAUM · $248M to $263MNov 11, 2013 to Feb 3, 2014
- RAUM · $248M to $263MNov 11, 2013 to Feb 3, 2014
- Accounts · 18 to 19Sep 12, 2012 to Feb 15, 2013
- Advisory employees · unset to 4.0Sep 12, 2012 to Feb 15, 2013
- BD registered reps · unset to 0.0Sep 12, 2012 to Feb 15, 2013
Signals
4 dated events
- Stewart Kevin Ellis (Member) no longer on Schedule A of I••••••••• C•••••• A•••••••• L•• (listed 2020-02-18, absent 2021-02-04)Feb 4, 2021 · Control person left · inference
- I••••••••• C•••••• A•••••••• L•• reported RAUM $504.8M, up 31% from $385.3M (2019-03-04 to 2020-02-18)Feb 18, 2020 · RAUM change · derived
- Alan David Dillon (Member) no longer on Schedule A of I••••••••• C•••••• A•••••••• L•• (listed 2018-08-27, absent 2019-03-04)Mar 4, 2019 · Control person left · inference
- Glenwood Donald Kane (Member) no longer on Schedule A of I••••••••• C•••••• A•••••••• L•• (listed 2018-08-27, absent 2019-03-04)Mar 4, 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
- Website
- w••.i••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-263-6408reportedpublic record, Form ADV, Jan 29, 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
- Institutional managerderiveda 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