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

T•• P•••••• A•••••••

Former SEC-registered adviserKansas City, MissouriCRD 166638SEC 801-77739IAPD
Legal name T•• P•••••• A•••••••• I•••
Latest filing Mar 17, 2020
First filing on the tape Mar 6, 2013 · 19 filings
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$226M as of Feb 26, 2020
Mar 7, 2014$132M then
HNW client RAUM$212M as of Feb 26, 2020
Mar 12, 2018$184M then
State-registered IARs (5.B.3)3 as of Feb 26, 2020
Mar 7, 20144 then
Employees (5.A)5 as of Feb 26, 2020
Mar 7, 20144 then
Private funds: no history
RAUM +21% over the last fiscal year+8.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2020; every figure names its basis
RAUM per advisor
$75.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$474,744derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$200M, 123 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$212M94%
  • Individuals$14.7M6.5%
Individual clients
33reported
HNW clients
89reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
477reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$200M for 123 clientsreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••• S••••••••• L•• · Shareholder/ Ceo/ Chief Compliance Officercontrol
      since 10/2002 · owns 50% to 75%
    • H•••••••• K••••• J••••• · Shareholder/ Presidentcontrol
      since 10/2002 · owns 25% to 50%
    • P•••••••• S••••• D•••• · Shareholder/ Chief Operating Officercontrol
      since 09/2015 · owns 10% to 25%
    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
    • Business name · T•• P•••••• A•••••••• I••• to T•• P•••••• A•••••••
      Feb 26, 2020 to Mar 17, 2020
    • Succession · false to true
      Feb 26, 2020 to Mar 17, 2020
    • Accounts · 540 to 477
      Mar 7, 2019 to Feb 26, 2020
    • HNW clients · 82 to 89
      Mar 7, 2019 to Feb 26, 2020
    • Individual clients · 38 to 33
      Mar 7, 2019 to Feb 26, 2020
    • Assets in custody · $165M to $200M
      Mar 7, 2019 to Feb 26, 2020
    • Discretionary RAUM · $187M to $226M
      Mar 7, 2019 to Feb 26, 2020
    • HNW RAUM · $169M to $212M
      Mar 7, 2019 to Feb 26, 2020
    • Individual RAUM · $17.9M to $14.7M
      Mar 7, 2019 to Feb 26, 2020
    • RAUM · $187M to $226M
      Mar 7, 2019 to Feb 26, 2020
    • Accounts · 580 to 540
      May 10, 2018 to Mar 7, 2019
    • HNW clients · 81 to 82
      May 10, 2018 to Mar 7, 2019
    • Individual clients · 39 to 38
      May 10, 2018 to Mar 7, 2019
    • Assets in custody · $114M to $165M
      May 10, 2018 to Mar 7, 2019
    • Discretionary RAUM · $203M to $187M
      May 10, 2018 to Mar 7, 2019
    • HNW RAUM · $184M to $169M
      May 10, 2018 to Mar 7, 2019
    • Individual RAUM · $19.0M to $17.9M
      May 10, 2018 to Mar 7, 2019
    • RAUM · $203M to $187M
      May 10, 2018 to Mar 7, 2019
    • Accounts · 592 to 580
      Feb 6, 2017 to Mar 12, 2018
    • HNW clients · unset to 81.0
      Feb 6, 2017 to Mar 12, 2018
    • Individual clients · unset to 39.0
      Feb 6, 2017 to Mar 12, 2018
    • Assets in custody · unset to 113549454.0
      Feb 6, 2017 to Mar 12, 2018
    • Custody of client assets · false to true
      Feb 6, 2017 to Mar 12, 2018
    • Other offices · unset to 0.0
      Feb 6, 2017 to Mar 12, 2018
    • Discretionary RAUM · $175M to $203M
      Feb 6, 2017 to Mar 12, 2018
    • HNW RAUM · unset to 184213077.0
      Feb 6, 2017 to Mar 12, 2018
    • Individual RAUM · unset to 18993348.0
      Feb 6, 2017 to Mar 12, 2018
    • RAUM · $175M to $203M
      Feb 6, 2017 to Mar 12, 2018
    • Accounts · 622 to 592
      Aug 22, 2016 to Feb 6, 2017
    • Discretionary RAUM · $151M to $175M
      Aug 22, 2016 to Feb 6, 2017
    • RAUM · $151M to $175M
      Aug 22, 2016 to Feb 6, 2017
    • HQ city · PRAIRIE VILLAGE to KANSAS CITY
      Mar 15, 2016 to Aug 22, 2016
    • HQ state · KS to MO
      Mar 15, 2016 to Aug 22, 2016
    • Accounts · 588 to 622
      Nov 11, 2015 to Mar 3, 2016
    • Advisory activities · 3 to 2
      Nov 11, 2015 to Mar 3, 2016
    • Employees · 4 to 5
      Nov 11, 2015 to Mar 3, 2016
    • Discretionary RAUM · $151M to $151M
      Nov 11, 2015 to Mar 3, 2016
    • RAUM · $151M to $151M
      Nov 11, 2015 to Mar 3, 2016
    • Accounts · 620 to 588
      Sep 5, 2014 to Mar 24, 2015
    • State-registered IARs · 4 to 3
      Sep 5, 2014 to Mar 24, 2015
    Signals
    2 dated events
    • T•• P•••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 17, 2020 · Succession (Item 4) · fact
    • T•• P•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 6, 2013 · First SEC registration · fact
    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