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
E•••••• D••••• R••••••••• I••••••••• A•••••••• L••
Latest filing Mar 21, 2024
First filing on the tape Jul 22, 2013 · 21 filings
RAUM
$441M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
85%
$373M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$441M as of Mar 21, 2024
Mar 18, 2014$178M then
HNW client RAUM$304M as of Mar 21, 2024
Feb 27, 2018$196M then
State-registered IARs (5.B.3)3 as of Mar 21, 2024
Mar 18, 20143 then
Employees (5.A)6 as of Mar 21, 2024
Mar 18, 20145 then
Private funds: no history
RAUM +19% over the last fiscal year+7.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2024; every figure names its basis
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 156derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $354,679derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $394MreportedItem 5.I
- Custody
- $33.5M, 67 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$304M69%
- Individuals$68.7M16%
- Corporations and businesses$51.3M12%
- Charitable organizations$16.1M3.6%
- Individual clients
- 329reported
- HNW clients
- 140reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,242reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $33.5M for 67 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• D••••• D••••• to C••••••• P•••••••Dec 10, 2024 · RIA to RIA
- K•••• T•••• to C••••••• P•••••••Dec 5, 2024 · RIA to RIA
- P•••••• A••• B•••• to C••••••• P•••••••Dec 5, 2024 · RIA to RIA
- J•••• S•••••• E•••••• to C••••••• P•••••••Dec 5, 2024 · RIA to RIA
Joined, latest
- P•••••• A••• B•••• from C••••• A••••••• L••Oct 3, 2019 · Affiliated broker-dealer or bank to independent RIA
- D••••• D••••• D••••• from M••••• S••••••Aug 30, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• S•••••• E•••••• from M••••• S••••••Aug 30, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C••••••• P•••••••Dec 5, 2024 · Lawrence, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• D•••••• D••••• · Member And Chief Compliance Officercontrolsince 08/2013 · owns 50% to 75%
- E••••••• J••••• S•••••• · Membercontrolsince 08/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- E•••••• D••••• I•••••••• A•••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lawrence, Ks · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,188 to 1,242Mar 23, 2023 to Mar 21, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 21, 2024
- BD registered reps · 3 to 4Mar 23, 2023 to Mar 21, 2024
- Charity clients · 4.0 to unsetMar 23, 2023 to Mar 21, 2024
- Corporate clients · 3 to 6Mar 23, 2023 to Mar 21, 2024
- HNW clients · 142 to 140Mar 23, 2023 to Mar 21, 2024
- Individual clients · 326 to 329Mar 23, 2023 to Mar 21, 2024
- Assets in custody · $32.4M to $33.5MMar 23, 2023 to Mar 21, 2024
- Employees · 5 to 6Mar 23, 2023 to Mar 21, 2024
- Insurance-licensed employees · 2 to 0Mar 23, 2023 to Mar 21, 2024
- Financial planning clients · 251-500 to 51-100Mar 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $303M to $394MMar 23, 2023 to Mar 21, 2024
- HNW RAUM · $288M to $304MMar 23, 2023 to Mar 21, 2024
- Individual RAUM · $59.9M to $68.7MMar 23, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $65.8M to $46.7MMar 23, 2023 to Mar 21, 2024
- RAUM · $369M to $441MMar 23, 2023 to Mar 21, 2024
- Accounts · 1,160 to 1,188Feb 28, 2022 to Mar 23, 2023
- Charity clients · 3 to 4Feb 28, 2022 to Mar 23, 2023
- Corporate clients · 1 to 3Feb 28, 2022 to Mar 23, 2023
- HNW clients · 133 to 142Feb 28, 2022 to Mar 23, 2023
- Individual clients · 322 to 326Feb 28, 2022 to Mar 23, 2023
- Assets in custody · $18.6M to $32.4MFeb 28, 2022 to Mar 23, 2023
- Employees · 6 to 5Feb 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $357M to $303MFeb 28, 2022 to Mar 23, 2023
- HNW RAUM · $330M to $288MFeb 28, 2022 to Mar 23, 2023
- Individual RAUM · $79.3M to $59.9MFeb 28, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $75.5M to $65.8MFeb 28, 2022 to Mar 23, 2023
- RAUM · $432M to $369MFeb 28, 2022 to Mar 23, 2023
- Accounts · 508 to 1,160Oct 22, 2021 to Feb 28, 2022
- Advisory employees · 4 to 3Oct 22, 2021 to Feb 28, 2022
- Corporate clients · 2 to 1Oct 22, 2021 to Feb 28, 2022
- HNW clients · 117 to 133Oct 22, 2021 to Feb 28, 2022
- Individual clients · 386 to 322Oct 22, 2021 to Feb 28, 2022
- Assets in custody · $7.1M to $18.6MOct 22, 2021 to Feb 28, 2022
- Insurance-licensed employees · 3 to 2Oct 22, 2021 to Feb 28, 2022
- State-registered IARs · 4 to 3Oct 22, 2021 to Feb 28, 2022
- Discretionary RAUM · $281M to $357MOct 22, 2021 to Feb 28, 2022
- HNW RAUM · $256M to $330MOct 22, 2021 to Feb 28, 2022
- Individual RAUM · $81.0M to $79.3MOct 22, 2021 to Feb 28, 2022
- Non-discretionary RAUM · $73.1M to $75.5MOct 22, 2021 to Feb 28, 2022
Signals
6 dated events
- D••••• D••••• D••••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-07)Dec 10, 2024 · Advisor changed firm · fact
- K•••• T•••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-07)Dec 5, 2024 · Advisor changed firm · fact
- P•••••• A••• B•••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-09)Dec 5, 2024 · Advisor changed firm · fact
- J•••• S•••••• E•••••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-04)Dec 5, 2024 · Advisor changed firm · fact
- E•••••• D••••• R••••••••• I••••••••• A•••••••• L••'s advisors moved to C••••••• P••••••• (Lawrence, KS): 4 of 4 registered, within 5 daysDec 5, 2024 · Firm absorbed (people side) · derived
- B••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 22, 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