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

S••••••••• H••••• L••

Former SEC-registered adviserFairway, KansasCRD 175360SEC 801-100340IAPD
Latest filing Mar 30, 2017
First filing on the tape Jun 1, 2015 · 4 filings
RAUM
$282M
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
23
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$282M gross assets
History
4 filings and snapshots on the tape
RAUM$282M as of Mar 30, 2017
Mar 30, 2016$256M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20160 then
Employees (5.A)23 as of Mar 30, 2017
Mar 30, 201619 then
Private funds5 as of Mar 30, 2017
Mar 30, 20164 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$56.5MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+10%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
$282M, 5 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$282M for 5 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• H•••• F••• I• L••Real Estate Fund$147M40Jun 1, 2015
      S•• W••••••• P••••••• L••Real Estate Fund$62.6M14Mar 30, 2016
      S••••••••• I•••••••• H••••••• L••Real Estate Fund$44.4M51Mar 30, 2017
      S••••••••• H•••• F••••• L••Real Estate Fund$20.8M1Mar 30, 2016
      S••••••••• H•••• F••• I•• L••Real Estate Fund$7.7M16Jun 1, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• R•••• K••••• · Co-Chairmancontrol
        since 12/2014 · owns less than 5%
      • A•••••••• T•••••••• D••••• · Co-Chairmancontrol
        since 12/2014 · owns less than 5%
      • H••••••••• R•••• H• · Directorcontrol
        since 12/2014 · owns less than 5%
      • M•••• E•••••• E• · Ceocontrol
        since 12/2014 · owns less than 5%
      • P•••• C••••••• S• · Coocontrol
        since 12/2014 · owns less than 5%
      • S••••• K••• · Cfocontrol
        since 12/2014 · owns less than 5%
      • B•••••••• M•••••• C••••••••• · Elected Managercontrol
        since 07/2007 · owns F of B••••••• F••••• H•••••• C••••••• L••
      • M•••• E•••••• E• · Membercontrol
        since 06/2006 · owns 75% or more of M••• P•••••• H•••••• C••••••• L••
      • M•••••• T•••••••• B•••••• · Ceocontrol
        since 02/2007 · owns 50% to 75% of G••••• E•••••••• M••••••••• L•
      • M•••••• T•••••••• B•••••• · Membercontrol
        since 12/2006 · owns 75% or more of G•• G•• L••
      • P•••• C••••••• S• · Membercontrol
        since 07/2012 · owns 75% or more of C•• R•••••••• L••
      • D•••••• A•••• J•••••• · Chief Compliance Officer
        since 12/2014 · owns less than 5%
      Entity owners
      • G••••••• L• · Member
        direct · owns 25% to 50%
      • M•••••• R••• E••••• M••••••••• L•• · Managing Member
        direct · owns 25% to 50%
      • S••••••••• H•••• P•••••••• L•• · Member
        direct · owns 25% to 50%
      • A••• H•••••••• L•• · Member
        indirect · owns 25% to 50% of M•••••• R••• E••••• M••••••••• L••
      • B••••••• F••••• H•••••• C••••••• L•• · Manager
        indirect · owns 75% or more of M•••••• H•••••••• L••
      • C•• R•••••••• L•• · Member
        indirect · owns 50% to 75% of S••••••••• H•••• P•••••••• L••
      • G•••••• L• · General Partner
        indirect · owns F of G••••• E•••••••• F••• I•• L•
      • G•••••• L• · General Partner
        indirect · owns F of G••••••• L•
      • G•••••• L• · General Partner
        indirect · owns F of G••••• E•••••••• F••• I• L•
      • G•• G•• L•• · General Partner
        indirect · owns F of G•••••• L•
      • G••••• E•••••••• F••• I• L• · Limited Partner
        indirect · owns 25% to 50% of G••••••• L•
      • G••••• E•••••••• F••• I•• L• · Limited Partner
        indirect · owns 50% to 75% of G••••••• L•
      • G••••• E•••••••• M••••••••• L• · Limited Partner
        indirect · owns 75% or more of G•••••• L•
      • M••• P•••••• H•••••• C••••••• L•• · Member
        indirect · owns 50% to 75% of S••••••••• H•••• P•••••••• L••
      • M•••••• H•••••••• L•• · Managing Member
        indirect · owns 75% or more of M•••••• I••••••••• L••
      • M•••••• I••••••••• L•• · Managing Member
        indirect · owns 50% to 75% of M•••••• R••• E••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list S••••••••• H••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Denver, CO
      • Overland Park, KS
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Jun 8, 2016 to Mar 30, 2017
      • Advisory employees · 7 to 8
        Jun 8, 2016 to Mar 30, 2017
      • Assets in custody · $256M to $282M
        Jun 8, 2016 to Mar 30, 2017
      • Employees · 19 to 23
        Jun 8, 2016 to Mar 30, 2017
      • Private funds · 4 to 5
        Jun 8, 2016 to Mar 30, 2017
      • Discretionary RAUM · $256M to $282M
        Jun 8, 2016 to Mar 30, 2017
      • RAUM · $256M to $282M
        Jun 8, 2016 to Mar 30, 2017
      • HQ city · L•••••• to FAIRWAY
        Mar 30, 2016 to Jun 8, 2016
      • Accounts · 2 to 4
        Jun 1, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 7
        Jun 1, 2015 to Mar 30, 2016
      • Business name · S•• H••••••••• M••••••••• L•• to S••••••••• H••••• L••
        Jun 1, 2015 to Mar 30, 2016
      • Assets in custody · $21.4M to $256M
        Jun 1, 2015 to Mar 30, 2016
      • Employees · 10 to 19
        Jun 1, 2015 to Mar 30, 2016
      • Legal name · S•• H••••••••• M••••••••• L•• to S••••••••• H••••• L••
        Jun 1, 2015 to Mar 30, 2016
      • Private funds · 2 to 4
        Jun 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $21.4M to $256M
        Jun 1, 2015 to Mar 30, 2016
      • RAUM · $21.4M to $256M
        Jun 1, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • S•• H••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 1, 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.
      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
      Across the graphs

      S••••••••• H••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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