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

B•••••• I•••

Former SEC-registered adviserCRD 168604SEC 801-78556IAPD
Latest filing Dec 20, 2022
First filing on the tape Sep 4, 2013 · 150 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
150 filings and snapshots on the tape
RAUM$5.8B as of Feb 28, 2022
Mar 27, 2014$0 then
HNW client RAUM$1.2B as of Feb 28, 2022
Jan 19, 2018$156M then
State-registered IARs (5.B.3)5 as of Feb 28, 2022
Mar 27, 20142 then
Employees (5.A)13 as of Feb 28, 2022
Mar 27, 20145 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 1
Practice profile
derived from the filing of Dec 20, 2022; every figure names its basis
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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.5%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
    • C•••••••• C••••• K••• · Ceo, Cco, And Investment Advisor Representativecontrol
      since 08/2019 · owns 10% to 25%
    • A•• D•• H••••• R•••• · Co-Founder
      since 08/2013 · owns 10% to 25%
    • C•••••• K••••• M••••• · Co-Founder And Investment Advisor Representative
      since 08/2013 · owns 10% to 25%
    Entity owners
    • D•• S••••••• I••• · Shareholder
      direct · owns 5% to 10%
    • Q•• F••• I••• L••• · Shareholder
      direct · owns 5% to 10%
    • R••• T•••• D•• 4••••••• · Shareholder
      direct · owns 5% to 10%
    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 · 30531.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Advisory employees · 5 to 0
      Oct 5, 2022 to Dec 7, 2022
    • HNW clients · 863.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Individual clients · 22680.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Assets in custody · 2159936079.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Employees · 13 to 1
      Oct 5, 2022 to Dec 7, 2022
    • State-registered IARs · 5 to 1
      Oct 5, 2022 to Dec 7, 2022
    • Other offices · 5 to 0
      Oct 5, 2022 to Dec 7, 2022
    • Discretionary RAUM · 5617471666.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • HNW RAUM · 1232354922.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Individual RAUM · 4579778604.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Non-discretionary RAUM · 194661860.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • RAUM · 5812133526.0 to unset
      Oct 5, 2022 to Dec 7, 2022
    • Other offices · 4 to 5
      Feb 28, 2022 to Apr 21, 2022
    • Accounts · 30,488 to 30,531
      Oct 12, 2021 to Feb 28, 2022
    • Advisory employees · 6 to 5
      Oct 12, 2021 to Feb 28, 2022
    • HNW clients · 811 to 863
      Oct 12, 2021 to Feb 28, 2022
    • Individual clients · 23,119 to 22,680
      Oct 12, 2021 to Feb 28, 2022
    • Assets in custody · $2.1B to $2.2B
      Oct 12, 2021 to Feb 28, 2022
    • Employees · 17 to 13
      Oct 12, 2021 to Feb 28, 2022
    • Insurance-licensed employees · 1 to 0
      Oct 12, 2021 to Feb 28, 2022
    • State-registered IARs · 6 to 5
      Oct 12, 2021 to Feb 28, 2022
    • Other offices · 5 to 4
      Oct 12, 2021 to Feb 28, 2022
    • Discretionary RAUM · $5.5B to $5.6B
      Oct 12, 2021 to Feb 28, 2022
    • HNW RAUM · $1.2B to $1.2B
      Oct 12, 2021 to Feb 28, 2022
    • Individual RAUM · $4.6B to $4.6B
      Oct 12, 2021 to Feb 28, 2022
    • Non-discretionary RAUM · $197M to $195M
      Oct 12, 2021 to Feb 28, 2022
    • RAUM · $5.7B to $5.8B
      Oct 12, 2021 to Feb 28, 2022
    • Related adviser · true to false
      Oct 12, 2021 to Feb 28, 2022
    • Accounts · 29,378 to 30,488
      Jan 17, 2021 to Oct 12, 2021
    • HNW clients · 478 to 811
      Jan 17, 2021 to Oct 12, 2021
    • Individual clients · 23,666 to 23,119
      Jan 17, 2021 to Oct 12, 2021
    • Assets in custody · $2.5B to $2.1B
      Jan 17, 2021 to Oct 12, 2021
    • HQ city · LEAWOOD to unset
      Jan 17, 2021 to Oct 12, 2021
    • HQ state · KS to unset
      Jan 17, 2021 to Oct 12, 2021
    • Other offices · 0 to 5
      Jan 17, 2021 to Oct 12, 2021
    • Discretionary RAUM · $4.9B to $5.5B
      Jan 17, 2021 to Oct 12, 2021
    • HNW RAUM · $639M to $1.2B
      Jan 17, 2021 to Oct 12, 2021
    • Individual RAUM · $4.4B to $4.6B
      Jan 17, 2021 to Oct 12, 2021
    • Non-discretionary RAUM · $145M to $197M
      Jan 17, 2021 to Oct 12, 2021
    Signals
    10 dated events
    • C••••••••• K• C••••••• left B•••••• I••• for M••••• S•••••• (registered 2023-02-28)
      Dec 31, 2022 · Advisor changed firm · fact
    • B•••••• I••• reported 0 offices beyond its principal office, down from 5 (2022-10-05 to 2022-12-07)
      Dec 7, 2022 · Office count change · derived
    • A••••• J•••• T••••• left B•••••• I••• for M••••• S•••••• (registered 2023-01-20)
      Nov 16, 2022 · Advisor changed firm · fact
    • S•••••• T• P••• left B•••••• I••• for M••••• S•••••• (registered 2023-03-06)
      Nov 16, 2022 · Advisor changed firm · fact
    • B••••• N• R•••• left B•••••• I••• for M••••• S•••••• (registered 2023-02-15)
      Nov 16, 2022 · Advisor changed firm · fact
    • B•••••• I•••'s advisors moved to M••••• S•••••• (Leawood, KS): 3 of 4 registered, on the same day
      Nov 16, 2022 · Firm absorbed (people side) · derived
    • Marie Shannon Duncan (Chief Compliance Officer) no longer on Schedule A of B•••••• I••• (listed 2021-10-12, absent 2022-02-28)
      Feb 28, 2022 · Control person left · inference
    • B•••••• I••• reported 5 offices beyond its principal office, up from 0 (2021-01-17 to 2021-10-12)
      Oct 12, 2021 · Office count change · derived
    • J••••• M•••••• B••••••• (Chief Executive Officer) no longer on Schedule A of B•••••• I••• (listed 2019-04-04, absent 2019-08-29)
      Aug 29, 2019 · Control person left · inference
    • B•••••.Com filed its initial SEC registration (Form ADV)
      Sep 4, 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