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
M•••••• F•••••••• G•••• L••
Latest filing Aug 19, 2026
First filing on the tape Mar 17, 2015 · 38 filings
SEC status approved since Mar 27, 2015
RAUM
$566M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$552M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$51.5M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$566M as of Aug 19, 2026
Mar 29, 2016$140M then
HNW client RAUM$414M as of Aug 19, 2026
Mar 2, 2018$102M then
State-registered IARs (5.B.3)8 as of Aug 19, 2026
Mar 29, 20164 then
Employees (5.A)9 as of Aug 19, 2026
Mar 29, 20167 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Aug 19, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $51.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $254,762derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- Wrap fee program
- $559MreportedItem 5.I
- Custody
- $293M, 437 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$414M73%
- Individuals$138M24%
- Charitable organizations$7.6M1.3%
- Pension and profit-sharing plans$6.2M1.1%
- Individual clients
- 727reported
- HNW clients
- 204reported
- Pension plan clients
- 19reported
- Charitable clients
- 5reported
- Accounts
- 2,222reported
- Financial planning clients
- 600reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $293M for 437 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D••••• R•••••• | Overland Park, Ks | May 11, 2015 | 21 y | 1 |
| C••• S•••••• R•••••• | Overland Park, Ks | May 11, 2015 | 18 y | 2 |
| H•••••• R•••• S•••••••Certified Financial Planner | Overland Park, Ks | May 11, 2015 | 11 y | 1 |
| L••••• A•• S•••••• | Overland Park, Ks | May 11, 2015 | 29 y | 3 |
| R•••••• K• R•••Certified Financial Planner, Chartered Financial Consultant | Topeka, Ks | May 19, 2015 | 44 y | 2 |
| A•••• H• J•• | Topeka, Ks | Jan 20, 2016 | 35 y | 1 |
| J•• D•••••• G•••• | Overland Park, Ks | Jul 22, 2016 | 32 y | 1 |
| M•••• N••••• S••••••Certified Financial Planner | Overland Park, Ks | Dec 4, 2019 | 19 y | 2 |
| A••••• L••• R•••••• | Topeka, Ks | Aug 28, 2020 | 19 y | 0 |
| N••••• F••••••• M••••••• | Overland Park, Ks | Aug 5, 2021 | 14 y | 1 |
| M•••••• J••• M•••••Certified Financial Planner | Overland Park, Ks | Feb 9, 2023 | 16 y | 0 |
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
- B••••• M•••• B••••••••• to B••••• W•••••Nov 1, 2017 · Other
Joined, latest
- N••••• F••••••• M••••••• from G••••••• A•••••••• L••Aug 5, 2021 · RIA to RIA
- M•••• N••••• S•••••• from C••••••••• S••••••••• L••Dec 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•• D•••••• G•••• from V•• A••••••• S•••••••Jul 22, 2016 · Other
- A•••• H• J•• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 20, 2016 · Other
- R•••••• K• R••• from V•• A••••••• S•••••••May 19, 2015 · Other
- L••••• A•• S•••••• from V•• A••••••• S•••••••May 11, 2015 · Other
- S••••• D••••• R•••••• from V•• A••••••• S•••••••May 11, 2015 · Other
- C••• S•••••• R•••••• from V•• A••••••• S•••••••May 11, 2015 · Other
- H•••••• R•••• S••••••• from V•• A••••••• S•••••••May 11, 2015 · Other
- B••••• M•••• B••••••••• from V•• A••••••• S•••••••May 11, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from V•• A••••••• S•••••••May 11, 2015 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• C•••• S•••••• · Member, Managercontrolsince 02/2015 · owns 25% to 50%
- R••••••• S•••••• D••••• · Member, Managercontrolsince 02/2015 · owns 25% to 50%
- R•••• R••••••• K• · Member, Managercontrolsince 02/2015 · owns 25% to 50%
- S••••••• L•••••• A•• · Member, Manager, Chief Compliance Officercontrolsince 02/2015 · owns 25% to 50%
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 | 11 | 0 | 0 | ||
| Topeka, Ks | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Topeka, KS5 employees
What changed
consecutive filings, newest first
- Accounts · 2,328 to 2,222Feb 7, 2025 to Feb 28, 2026
- Advisory employees · 8 to 9Feb 7, 2025 to Feb 28, 2026
- Charity clients · unset to 5.0Feb 7, 2025 to Feb 28, 2026
- HNW clients · 225 to 204Feb 7, 2025 to Feb 28, 2026
- Individual clients · 694 to 727Feb 7, 2025 to Feb 28, 2026
- Pension plan clients · unset to 19.0Feb 7, 2025 to Feb 28, 2026
- Assets in custody · $211M to $293MFeb 7, 2025 to Feb 28, 2026
- Employees · 8 to 9Feb 7, 2025 to Feb 28, 2026
- Discretionary RAUM · $471M to $559MFeb 7, 2025 to Feb 28, 2026
- HNW RAUM · $360M to $414MFeb 7, 2025 to Feb 28, 2026
- Individual RAUM · $110M to $138MFeb 7, 2025 to Feb 28, 2026
- Non-discretionary RAUM · $6.6M to $6.7MFeb 7, 2025 to Feb 28, 2026
- Pension RAUM · $1.5M to $6.2MFeb 7, 2025 to Feb 28, 2026
- RAUM · $478M to $566MFeb 7, 2025 to Feb 28, 2026
- Accounts · 2,315 to 2,328Jul 19, 2024 to Feb 7, 2025
- Advisory employees · 7 to 8Jul 19, 2024 to Feb 7, 2025
- HNW clients · 192 to 225Jul 19, 2024 to Feb 7, 2025
- Individual clients · 786 to 694Jul 19, 2024 to Feb 7, 2025
- Assets in custody · $190M to $211MJul 19, 2024 to Feb 7, 2025
- Employees · 7 to 8Jul 19, 2024 to Feb 7, 2025
- Financial planning clients · More than 500 to More than 500Jul 19, 2024 to Feb 7, 2025
- State-registered IARs · 7 to 8Jul 19, 2024 to Feb 7, 2025
- Discretionary RAUM · $425M to $471MJul 19, 2024 to Feb 7, 2025
- HNW RAUM · $308M to $360MJul 19, 2024 to Feb 7, 2025
- Individual RAUM · $118M to $110MJul 19, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $8.6M to $6.6MJul 19, 2024 to Feb 7, 2025
- Pension RAUM · $1.2M to $1.5MJul 19, 2024 to Feb 7, 2025
- RAUM · $434M to $478MJul 19, 2024 to Feb 7, 2025
- Accounts · 2,000 to 2,315Nov 17, 2023 to Mar 13, 2024
- Advisory employees · 10 to 7Nov 17, 2023 to Mar 13, 2024
- HNW clients · 186 to 192Nov 17, 2023 to Mar 13, 2024
- Individual clients · 805 to 786Nov 17, 2023 to Mar 13, 2024
- Assets in custody · $150M to $190MNov 17, 2023 to Mar 13, 2024
- Employees · 10 to 7Nov 17, 2023 to Mar 13, 2024
- State-registered IARs · 10 to 7Nov 17, 2023 to Mar 13, 2024
- Discretionary RAUM · $359M to $425MNov 17, 2023 to Mar 13, 2024
- HNW RAUM · $209M to $308MNov 17, 2023 to Mar 13, 2024
- Individual RAUM · $147M to $118MNov 17, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $7.2M to $8.6MNov 17, 2023 to Mar 13, 2024
- Pension RAUM · $5.5M to $1.2MNov 17, 2023 to Mar 13, 2024
Signals
1 dated events
- M•••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2015 · 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 phone
- 913-529-2304reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- msfinancialresources.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-696-0041reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- msfinancialresources.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $51.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026