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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••• A•••• M••••••••• L••

Former SEC-registered adviserCRD 170630SEC 801-79465IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 24, 2014 · 14 filings
RAUM
$49.1M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
74%
$36.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$49.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$49.1M as of Mar 30, 2020
Mar 30, 2015$168M then
HNW client RAUM$28.3M as of Mar 30, 2020
Apr 20, 2018$108M then
State-registered IARs (5.B.3)1 as of Mar 30, 2020
Mar 30, 20152 then
Employees (5.A)1 as of Mar 30, 2020
Mar 30, 20152 then
Private funds: no history
RAUM -56% over the last fiscal year-33% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$49.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$374,951derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.2%derivedpensions, 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
-56%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-69%derived
Compensation
percentage of assets, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.3M58%
  • Other investment advisers$12.5M25%
  • Individuals$8.2M17%
  • Charitable organizations$107,3670.2%
Individual clients
26reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
131reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H•••• S•••••• L•••Kansas City, MoJun 3, 201424 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
    • L•••• H••••• S•••••• · President/Owner/Managing Member And Ccocontrol
      since 08/2019 · owns 75% or more
    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 · 124 to 131
      Oct 9, 2019 to Jan 16, 2020
    • HNW clients · 2 to 21
      Oct 9, 2019 to Jan 16, 2020
    • Individual clients · 55 to 26
      Oct 9, 2019 to Jan 16, 2020
    • Discretionary RAUM · $22.0M to $48.6M
      Oct 9, 2019 to Jan 16, 2020
    • HNW RAUM · $3.8M to $28.3M
      Oct 9, 2019 to Jan 16, 2020
    • Individual RAUM · $18.2M to $8.2M
      Oct 9, 2019 to Jan 16, 2020
    • Non-discretionary RAUM · $29,288 to $524,191
      Oct 9, 2019 to Jan 16, 2020
    • RAUM · $22.0M to $49.1M
      Oct 9, 2019 to Jan 16, 2020
    • Accounts · 151 to 124
      Apr 30, 2019 to Aug 29, 2019
    • Advisory employees · 2 to 1
      Apr 30, 2019 to Aug 29, 2019
    • Advisory activities · 2 to 1
      Apr 30, 2019 to Aug 29, 2019
    • HNW clients · 127 to 2
      Apr 30, 2019 to Aug 29, 2019
    • Individual clients · 24 to 55
      Apr 30, 2019 to Aug 29, 2019
    • Employees · 2 to 1
      Apr 30, 2019 to Aug 29, 2019
    • HQ city · OVERLAND PARK to unset
      Apr 30, 2019 to Aug 29, 2019
    • HQ state · KS to unset
      Apr 30, 2019 to Aug 29, 2019
    • State-registered IARs · 2 to 1
      Apr 30, 2019 to Aug 29, 2019
    • Discretionary RAUM · $106M to $22.0M
      Apr 30, 2019 to Aug 29, 2019
    • HNW RAUM · $104M to $3.8M
      Apr 30, 2019 to Aug 29, 2019
    • Individual RAUM · $1.7M to $18.2M
      Apr 30, 2019 to Aug 29, 2019
    • Non-discretionary RAUM · $5.5M to $29,288
      Apr 30, 2019 to Aug 29, 2019
    • RAUM · $112M to $22.0M
      Apr 30, 2019 to Aug 29, 2019
    • Accounts · 140 to 151
      Oct 24, 2018 to Apr 30, 2019
    • HNW clients · 104 to 127
      Oct 24, 2018 to Apr 30, 2019
    • Individual clients · 36 to 24
      Oct 24, 2018 to Apr 30, 2019
    • Discretionary RAUM · $103M to $106M
      Oct 24, 2018 to Apr 30, 2019
    • HNW RAUM · $108M to $104M
      Oct 24, 2018 to Apr 30, 2019
    • Individual RAUM · $2.7M to $1.7M
      Oct 24, 2018 to Apr 30, 2019
    • Non-discretionary RAUM · $8.3M to $5.5M
      Oct 24, 2018 to Apr 30, 2019
    • RAUM · $111M to $112M
      Oct 24, 2018 to Apr 30, 2019
    • Accounts · 165 to 140
      Mar 31, 2017 to Apr 20, 2018
    • Advisory activities · 3 to 2
      Mar 31, 2017 to Apr 20, 2018
    • Charity clients · unset to 1.0
      Mar 31, 2017 to Apr 20, 2018
    • HNW clients · unset to 104.0
      Mar 31, 2017 to Apr 20, 2018
    • Individual clients · unset to 36.0
      Mar 31, 2017 to Apr 20, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Apr 20, 2018
    • Discretionary RAUM · $144M to $103M
      Mar 31, 2017 to Apr 20, 2018
    • HNW RAUM · unset to 108055895.0
      Mar 31, 2017 to Apr 20, 2018
    • Individual RAUM · unset to 2683992.0
      Mar 31, 2017 to Apr 20, 2018
    • Non-discretionary RAUM · $16.7M to $8.3M
      Mar 31, 2017 to Apr 20, 2018
    Signals
    2 dated events
    • Lawrence Edward Condon (Managing Member And Cco) no longer on Schedule A of D••••• A•••• M••••••••• L•• (listed 2019-04-30, absent 2019-08-29)
      Aug 29, 2019 · Control person left · inference
    • N•••• K•• L•• filed its initial SEC registration (Form ADV)
      Mar 24, 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.
    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
    $49.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026