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
T•• A•••••••
Legal name T••••••• I•••• S••••••••• L••
Latest filing Mar 10, 2025
First filing on the tape May 4, 2015 · 26 filings
SEC status approved since Jun 1, 2015
RAUM
$719M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$719M as of Mar 10, 2025
Mar 29, 2016$19.0M then
HNW client RAUM$0 as of Mar 10, 2025
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 10, 2025
Mar 29, 20160 then
Employees (5.A)2 as of Mar 10, 2025
Mar 29, 20163 then
Private funds: no history
RAUM +21% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2025; 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
- $359MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$719M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B••••• W•••• · Chief Financial Officercontrolsince 04/2024 · owns less than 5%
- F•••••••• T•••••• I••••••• · Chief Executive Officercontrolsince 04/2024 · owns less than 5%
- K•••••• J••••••• S•••• · General Counselcontrolsince 04/2024 · owns less than 5%
- B••••••• B••••• W•••• · Chief Financial Officercontrolsince 04/2024 · owns F of T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L•••
- F•••••••• T•••••• I••••••• · Chief Executive Officercontrolsince 04/2024 · owns F of T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L•••
- K•••••• J••••••• S•••• · General Counselcontrolsince 04/2024 · owns F of T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L•••
- B•••• D••••• M•••• · Chief Compliance Officersince 02/2015 · owns less than 5%
Entity owners
- T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L••• · Managing Memberdirect · owns 75% or more
- F••• I• U•• L•• · General Partnerindirect · owns F of L••••• M•••••• E••••• A••••••• I• L•
- H••• H••••••• L•• · Memberindirect · owns 25% to 50% of L• T••••••• H••••••• C••••••••• L••
- L• T••••••• H••••••• C••••••••• L•• · Memberindirect · owns 25% to 50% of L• T••••••• H••••••• L••
- L• T••••••• H••••••• L•• · Memberindirect · owns 50% to 75% of T••••••••• P••••• H••••• L•• •••••••• T••••••• P••••• H••••• L•••
- L• T••••••• I••••••••• H••••••• I• C••••••••• L•• · Memberindirect · owns 50% to 75% of L• T••••••• H••••••• L••
- L• T••••••• I••••••••• H••••••• I• L•• · Managing Memberindirect · owns 50% to 75% of L• T••••••• I••••••••• H••••••• I• C••••••••• L••
- L• T••••••• I••••••••• H••••••• I••• I••• · Memberindirect · owns 25% to 50% of L• T••••••• I••••••••• H••••••• I• L••
- L••••• M•••••• E••••• A••••••• I• L• · General Partnerindirect · owns F of L••••• M•••••• E••••• P••••••• I• L•
- L••••• M•••••• E••••• A••••••• I• L• · General Partnerindirect · owns F of L••••• M•••••• E••••• P••••••• I••• L•
- L••••• M•••••• E••••• P••••••• I• L• · Memberindirect · owns 50% to 75% of L• T••••••• I••••••••• H••••••• I• L••
- L••••• M•••••• E••••• P••••••• I••• L• · Ownerindirect · owns 75% or more of L• T••••••• I••••••••• H••••••• I••• I•••
- L••••• M•••••• P••••••• L•• · Managing Memberindirect · owns 75% or more of F••• I• U•• L••
- T••••••••• P••••• H••••• L•• •••••••• T••••••• P••••• H••••• L••• · Sole Memberindirect · owns 75% or more of T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L•••
Related persons
Schedule D 7.A
- E••••• A••••••• L••••••investment adviserbanknRAUM $1.4B
- E••••• A•••••••• L••investment advisernRAUM $94.5M
- E••••• D••• I• G• L••pooled vehicle sponsorn
- E••••• E• G•• L••pooled vehicle sponsorn
- E••••• E•• G•• L••pooled vehicle sponsorn
- E••••• M••••••••• L••pooled vehicle sponsorn
- T••••••• C•••••• A•••••••• L•••••investment adviserbanknRAUM $8.9B
- T••••••• D••••• O••••••••• G• I• L••pooled vehicle sponsorn
- T••••••• M••••••••• L••pooled vehicle sponsorn
- T••••••••• D••• I• G•• L••pooled vehicle sponsorn
- T••••••••• D••• I•• G•• L••pooled vehicle sponsorn
- T••••••••• E•• G•• L••pooled vehicle sponsorn
- T••••••••• M•••••••• C••••• G•• L••pooled vehicle sponsorn
Advisers that list T•• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $592M to $719MJan 17, 2025 to Mar 10, 2025
- RAUM · $592M to $719MJan 17, 2025 to Mar 10, 2025
- BD registered reps · 1 to 0Jan 31, 2024 to Mar 30, 2024
- Insurance-licensed employees · 1 to 0Jan 31, 2024 to Mar 30, 2024
- Discretionary RAUM · $639M to $592MJan 31, 2024 to Mar 30, 2024
- RAUM · $639M to $592MJan 31, 2024 to Mar 30, 2024
- Related broker-dealer · true to falseJan 31, 2024 to Mar 30, 2024
- Accounts · 3 to 2Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 1 to 0Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $580M to $639MMar 30, 2022 to Mar 29, 2023
- RAUM · $580M to $639MMar 30, 2022 to Mar 29, 2023
- BD registered reps · 0 to 1Aug 6, 2021 to Mar 30, 2022
- Insurance-licensed employees · 0 to 1Aug 6, 2021 to Mar 30, 2022
- State-registered IARs · 0 to 1Aug 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $405M to $580MAug 6, 2021 to Mar 30, 2022
- RAUM · $405M to $580MAug 6, 2021 to Mar 30, 2022
- HQ city · LEAWOOD to OVERLAND PARKMay 25, 2021 to Jul 6, 2021
- Discretionary RAUM · $523M to $405MJan 13, 2021 to Mar 30, 2021
- RAUM · $523M to $405MJan 13, 2021 to Mar 30, 2021
- Business name · T••••••• I•••• S••••••••• L•• to T•• A•••••••Aug 6, 2020 to Jan 13, 2021
- Accounts · 2 to 3Jan 8, 2020 to Mar 27, 2020
- Employees · 4 to 2Jan 8, 2020 to Mar 27, 2020
- Discretionary RAUM · $299M to $523MJan 8, 2020 to Mar 27, 2020
- RAUM · $299M to $523MJan 8, 2020 to Mar 27, 2020
- Discretionary RAUM · $123M to $299MMar 27, 2018 to Mar 28, 2019
- RAUM · $123M to $299MMar 27, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Corporate clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- HNW clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Individual clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Pension plan clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Discretionary RAUM · $71.4M to $123MFeb 13, 2018 to Mar 27, 2018
- HNW RAUM · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Individual RAUM · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Pension RAUM · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 0.0Feb 13, 2018 to Mar 27, 2018
- RAUM · $71.4M to $123MFeb 13, 2018 to Mar 27, 2018
- Related insurance company · true to falseFeb 13, 2018 to Mar 27, 2018
- Employees · 3 to 4Jun 15, 2017 to Feb 13, 2018
Signals
20 dated events
- T•• A••••••• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $718.7M)Aug 1, 2025 · Left the SEC roster · derived
- Ibberson Thomas Florence (Chief Executive Officer) appeared on Schedule A of T•• A•••••••Mar 30, 2024 · Control person joined · fact
- Scott Jeffrey Kruske (General Counsel) appeared on Schedule A of T•• A•••••••Mar 30, 2024 · Control person joined · fact
- Kevin Harold Birzer (Chief Executive Officer) no longer on Schedule A of T•• A••••••• (listed 2024-01-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Paul Gary Henson (President) no longer on Schedule A of T•• A••••••• (listed 2024-01-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Gregory Preston Matthew Sallee (Director) no longer on Schedule A of T•• A••••••• (listed 2024-01-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Alan Brian Kessens (Director) no longer on Schedule A of T•• A••••••• (listed 2024-01-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Joseph Robert Thummel (Director) no longer on Schedule A of T•• A••••••• (listed 2024-01-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Ross Michelle Johnston (Director) no longer on Schedule A of T•• A••••••• (listed 2023-03-29, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- Jon B•••• Newcomb (Director) no longer on Schedule A of T•• A••••••• (listed 2023-03-29, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- W•••• B•••• B•••••• (Director) appeared on Schedule A of T•• A•••••••Nov 14, 2023 · Control person joined · fact
- Alan Brian Kessens (Director) appeared on Schedule A of T•• A•••••••Nov 14, 2023 · Control person joined · fact
- Joseph Robert Thummel (Director) appeared on Schedule A of T•• A•••••••Nov 14, 2023 · Control person joined · fact
- T•• A••••••• reported RAUM $579.7M, up 43% from $405.4M (2021-08-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- T•• A••••••• reported RAUM $522.8M, up 75% from $298.8M (2020-01-08 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Connie Savage (Chief Operating Officer) no longer on Schedule A of T•• A••••••• (listed 2019-12-16, absent 2020-01-08)Jan 8, 2020 · Control person left · inference
- Jean Connie Savage (Chief Operating Officer) no longer on Schedule A of T•• A••••••• (listed 2019-12-16, absent 2020-01-08)Jan 8, 2020 · Control person left · inference
- T•• A••••••• reported RAUM $298.8M, up 144% from $122.6M (2018-03-27 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Jon B•••• Newcomb (Director) appeared on Schedule A of T•• A•••••••Mar 28, 2019 · Control person joined · fact
- T••••••• I•••• S••••••••• L•• filed its initial SEC registration (Form ADV)May 4, 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