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
N••• R• W•••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Dec 5, 2013 · 43 filings
SEC status approved since Jan 2, 2014
RAUM
$453M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$423M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$90.5M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$453M as of Aug 4, 2026
Mar 24, 2015$271M then
HNW client RAUM$352M as of Aug 4, 2026
Mar 7, 2018$238M then
State-registered IARs (5.B.3)4 as of Aug 4, 2026
Mar 26, 20140 then
Employees (5.A)8 as of Aug 4, 2026
Mar 26, 20141 then
Private funds: no history
RAUM +9.9% over the last fiscal year+10% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $90.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $470,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $219M, 132 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$352M78%
- Individuals$71.1M16%
- Corporations and businesses$24.2M5.3%
- Pension and profit-sharing plans$5.1M1.1%
- Charitable organizations$129,9720.0%
- Individual clients
- 210reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 962reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $219M for 132 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• R•• R••••••Certified Financial Planner | Overland Park, Ks | Aug 4, 2014 | 45 y | 2 |
| E••• T•••••• R•••••• | Overland Park, Ks | May 26, 2017 | 11 y | 0 |
| B••••• F••• R••••••Certified Financial Planner | Overland Park, Ks | Jul 17, 2017 | 18 y | 3 |
| M•••••• D•••• R••••••Chartered Financial Analyst | Overland Park, Ks | May 29, 2018 | 13 y | 1 |
| C•••••• L•••••• G•••Certified Financial Planner | Overland Park, Ks | Aug 26, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• O•••••• to E••••• J••••Jul 20, 2016 · Other
Joined, latest
- C•••••• L•••••• G••• from S•••• • R••••••• I••Aug 26, 2026 · RIA to RIA
- M•••••• D•••• R•••••• from S•••••••May 29, 2018 · Affiliated broker-dealer or bank to independent RIA
- B••••• F••• R•••••• from L••••• F•••••••• S••••••••• L••Jul 17, 2017 · Other
- T•••••• R•• R•••••• from W•••• F•••• A•••••••Aug 4, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• O•••••• from W•••• F•••• A•••••••Aug 1, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• E•••• T•••••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- R••••••• T••••••• R•• · Managing Membercontrolsince 08/2014 · owns 75% or more
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 | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 1.0 to unsetMar 17, 2026 to Aug 4, 2026
- Corporate clients · 3.0 to unsetMar 17, 2026 to Aug 4, 2026
- Pension plan clients · 1.0 to unsetMar 17, 2026 to Aug 4, 2026
- Accounts · 888 to 962Sep 5, 2025 to Mar 17, 2026
- Advisory employees · 5 to 4Sep 5, 2025 to Mar 17, 2026
- Charity clients · unset to 1.0Sep 5, 2025 to Mar 17, 2026
- Corporate clients · unset to 3.0Sep 5, 2025 to Mar 17, 2026
- HNW clients · 98 to 113Sep 5, 2025 to Mar 17, 2026
- Individual clients · 223 to 210Sep 5, 2025 to Mar 17, 2026
- Pension plan clients · unset to 1.0Sep 5, 2025 to Mar 17, 2026
- Assets in custody · $191M to $219MSep 5, 2025 to Mar 17, 2026
- Employees · 7 to 8Sep 5, 2025 to Mar 17, 2026
- State-registered IARs · 5 to 4Sep 5, 2025 to Mar 17, 2026
- Discretionary RAUM · $402M to $447MSep 5, 2025 to Mar 17, 2026
- HNW RAUM · $311M to $352MSep 5, 2025 to Mar 17, 2026
- Individual RAUM · $77.9M to $71.1MSep 5, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $10.2M to $6.0MSep 5, 2025 to Mar 17, 2026
- Pension RAUM · unset to 5060633.0Sep 5, 2025 to Mar 17, 2026
- RAUM · $412M to $453MSep 5, 2025 to Mar 17, 2026
- Assets in custody · $77.8M to $191MJul 11, 2025 to Aug 15, 2025
- Financial planning clients · 101-250 to 101-250Mar 7, 2025 to Jul 11, 2025
- Accounts · 882 to 888Aug 7, 2024 to Mar 7, 2025
- HNW clients · 90 to 98Aug 7, 2024 to Mar 7, 2025
- Individual clients · 233 to 223Aug 7, 2024 to Mar 7, 2025
- Assets in custody · $61.4M to $77.8MAug 7, 2024 to Mar 7, 2025
- Discretionary RAUM · $383M to $402MAug 7, 2024 to Mar 7, 2025
- HNW RAUM · $289M to $311MAug 7, 2024 to Mar 7, 2025
- Individual RAUM · $79.6M to $77.9MAug 7, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $9.1M to $10.2MAug 7, 2024 to Mar 7, 2025
- RAUM · $392M to $412MAug 7, 2024 to Mar 7, 2025
- Accounts · 945 to 882Nov 13, 2023 to Mar 7, 2024
- HNW clients · 78 to 90Nov 13, 2023 to Mar 7, 2024
- Individual clients · 242 to 233Nov 13, 2023 to Mar 7, 2024
- Assets in custody · $340M to $61.4MNov 13, 2023 to Mar 7, 2024
- Employees · 6 to 7Nov 13, 2023 to Mar 7, 2024
- Discretionary RAUM · $326M to $383MNov 13, 2023 to Mar 7, 2024
- HNW RAUM · $238M to $289MNov 13, 2023 to Mar 7, 2024
- Individual RAUM · $78.5M to $79.6MNov 13, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $11.2M to $9.1MNov 13, 2023 to Mar 7, 2024
- RAUM · $337M to $392MNov 13, 2023 to Mar 7, 2024
Signals
2 dated events
- J••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 1, 2014 · Succession (Item 4) · fact
- J••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 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.
How to reach
public business contact points only, each with its source
- Business email
- service@novarwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mbunn@novarwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jtibbetts@novarwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-225-9204reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-225-9201reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-225-9202reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/nova-r-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- novarwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (913) 225-9201reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- novarwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- novarwealth.com/team-membersreportedpublished by the firm, firm site, Sep 15, 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
- $90.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026