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
A••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jan 7, 2014 · 22 filings
SEC status approved since Jan 31, 2014
RAUM
$1.0B
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
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2026
Mar 30, 2015$709M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20150 then
Employees (5.A)5 as of Mar 31, 2026
Mar 30, 20155 then
Private funds1 as of Mar 31, 2026
Mar 30, 20152 then
RAUM -31% over the last fiscal year-0.4% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; 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
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -31%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• C•••••• P•••••••• L• | Hedge Fund | $1.3B | 95 | Nov 8, 2013 |
| A••• C•••••• P••••••• C•••••••• I• L•no longer reported | Other Private Fund | $124M | 24 | Feb 27, 2015 |
| A••• C•••••• P••••••• C•••••••• I•• L•no longer reported | Other Private Fund | $74.7M | 1 | Mar 30, 2016 |
| A••• C•••••• P••••••• C•••••••• I••• L•no longer reported | Other Private Fund | $18.6M | 1 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••••• M•••••• · Limited Partner And Chief Investment Officercontrolsince 01/2015 · owns 25% to 50%
- C••••••• W••••••• C•••••• · Limited Partner, Chairman, And Ceocontrolsince 01/2015 · owns 25% to 50%
- H•••••• W••••••• R•••••• · Limited Partner, President, And Ccocontrolsince 01/2015 · owns 25% to 50%
- B••••• S••••••• M•••••• · Membercontrolsince 01/2015 · owns 25% to 50% of A••• G•• L••
- C••••••• W••••••• C•••••• · Membercontrolsince 01/2015 · owns 25% to 50% of A••• G•• L••
- H•••••• W••••••• R•••••• · Membercontrolsince 01/2015 · owns 25% to 50% of A••• G•• L••
Entity owners
- A••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••• C•••••• P••••••• •••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Leawood, KS1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,501,628,646 to $1,038,689,554 (-31.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 2.7% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $1.0BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.5B to $1.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.5B to $1.0BMar 31, 2025 to Mar 31, 2026
- Related adviser · true to falseMar 31, 2025 to Mar 31, 2026
- Related bank · true to falseMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Other offices · 1 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3B to $1.5BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.3B to $1.5BMar 29, 2024 to Mar 31, 2025
- RAUM · $1.3B to $1.5BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 29, 2024
- Employees · 6 to 5Mar 30, 2023 to Mar 29, 2024
- Other offices · 2 to 1Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.7B to $1.1BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $1.1BMar 30, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.1BMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.7BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.7B to $1.7BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.7B to $1.7BMar 30, 2021 to Mar 30, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 30, 2021
- Employees · 5 to 6Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.5B to $1.7BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.5B to $1.7BMar 30, 2020 to Mar 30, 2021
- RAUM · $1.5B to $1.7BMar 30, 2020 to Mar 30, 2021
- Accounts · 4 to 1Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 4 to 1Mar 29, 2019 to Mar 30, 2020
- Private funds · 4 to 1Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.2B to $1.5BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.2B to $1.5BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.2B to $1.5BMar 29, 2019 to Mar 30, 2020
- Advisory employees · 3 to 5Aug 7, 2018 to Mar 29, 2019
- Other offices · 1 to 2Aug 7, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.3B to $1.2BAug 7, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.3B to $1.2BAug 7, 2018 to Mar 29, 2019
- RAUM · $1.3B to $1.2BAug 7, 2018 to Mar 29, 2019
- Advisory employees · 5 to 3Mar 31, 2018 to Aug 7, 2018
Signals
5 dated events
- A••• C•••••• M••••••••• L• reported RAUM $1.0B, down 31% from $1.5B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••• C•••••• M••••••••• L• reported RAUM $1.3B, up 26% from $1.1B (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A••• C•••••• M••••••••• L• reported RAUM $1.1B, down 39% from $1.7B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 27, 2015 · Succession (Item 4) · fact
- A••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 7, 2014 · 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
- Principal office phone
- 201-464-0962reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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