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

A••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 226536SEC 801-101535IAPD
Latest filing Jan 29, 2016
First filing on the tape Jul 15, 2015 · 4 filings
RAUM
$192M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$192M as of Jan 29, 2016
Nov 21, 2015$192M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2016
Jul 15, 20150 then
Employees (5.A)1 as of Jan 29, 2016
Jul 15, 20151 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 29, 2016; 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
$96.2MderivedRAUM 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
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
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
2reported
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• R•••••• A••• · Presidentcontrol
        since 06/2015 · owns less than 5%
      • P••••••• J•••• J••••• · Managing Memebercontrol
        since 06/2015 · owns less than 5%
      • R••••• E•••• M•••••• · Secretarycontrol
        since 05/2015 · owns less than 5%
      • P••••••• J•••• J••••• · Member,Secretary And Treasurercontrol
        since 03/2009 · owns 25% to 50% of A••• A••••••••• L••
      • R••••• E•••• M•••••• · Membercontrol
        since 03/2009 · owns F of A••• A••••••••• L••
      • L••••••••• T•••••••• M••••• · Chief Compliance Officer
        since 06/2015 · owns less than 5%
      Entity owners
      • R•••• I••••••••• L•• · Member
        direct · owns 75% or more
      • A••• A••••••••• L•• · Member
        indirect · owns 25% to 50% of R•••• I••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Wichita, KS
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $192M to $192M
        Nov 21, 2015 to Jan 29, 2016
      • RAUM · $192M to $192M
        Nov 21, 2015 to Jan 29, 2016
      • Related broker-dealer · false to true
        Nov 21, 2015 to Jan 29, 2016
      • Accounts · unset to 2.0
        Jul 22, 2015 to Nov 21, 2015
      • Advisory activities · 1 to 2
        Jul 22, 2015 to Nov 21, 2015
      • Discretionary RAUM · unset to 192341000.0
        Jul 22, 2015 to Nov 21, 2015
      • Non-discretionary RAUM · unset to 100000.0
        Jul 22, 2015 to Nov 21, 2015
      • RAUM · unset to 192441000.0
        Jul 22, 2015 to Nov 21, 2015
      Signals
      1 dated events
      • A••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 15, 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