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

C•••

Former SEC-registered adviserOverland Park, KansasCRD 24153SEC 801-37558IAPD
Legal name C•••• L••
Latest filing Mar 31, 2016
First filing on the tape Jan 24, 2012 · 15 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
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
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2016
Jan 24, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2016
Jan 24, 20120 then
Employees (5.A)8 as of Mar 31, 2016
Mar 28, 201314 then
Private funds: no history
RAUM -39% over the last fiscal year-30% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2016; every figure names its basis
RAUM per advisor
$281MderivedRAUM 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
$70.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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
16reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • L•••••• L•••• N••••• · Ceocontrol
      since 02/2015 · owns less than 5%
    • F•••••••• W•••••• T••• · 0wnercontrol
      since 11/2012 · owns 25% to 50% of A••••••• I••••••••• L••
    • H••••••••• W•••• D••• · Ownercontrol
      since 11/2012 · owns 25% to 50% of A••••••• I••••••••• L••
    • H••••••• N••••••• J• · Ownercontrol
      since 02/2000 · owns 25% to 50% of W• L••.
    • J••••• A••••• A•••• · Ownercontrol
      since 08/2013 · owns 25% to 50% of A••••••• I••••••••• L••
    • H••••••• B•••• E••••• · Chief Compliance Officer, Finop
      since 03/2014 · owns less than 5%
    Entity owners
    • A••••••• C•••••• H•••••••• L•• · Member
      direct · owns 25% to 50%
    • A••••••• I••••••••• L•• · Owner
      indirect · owns 75% or more of A••••••• C•••••• H•••••••• L••
    • H•••••• F•••••••• S••••••• L•••••• · Owner
      indirect · owns 75% or more of Gca Stregic Investment Fund, Ltd
    • W• L•• · Owner
      indirect · owns 75% or more of H•••••• F•••••••• S••••••• L••••••
    • A•••••• F•••••• C••••• U•••• · Member
      direct · owns 10% to 25%
    • G•• S•••••••• I••••••••• F•••• L•• · Member
      direct · owns 10% to 25%
    • G•••••• U••••• C••••• U•••• · Member
      direct · owns 5% to 10%
    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 · 22 to 16
      Aug 6, 2015 to Mar 31, 2016
    • BD registered reps · 5 to 4
      Aug 6, 2015 to Mar 31, 2016
    • Employees · 9 to 8
      Aug 6, 2015 to Mar 31, 2016
    • Non-discretionary RAUM · $1.8B to $1.1B
      Aug 6, 2015 to Mar 31, 2016
    • RAUM · $1.8B to $1.1B
      Aug 6, 2015 to Mar 31, 2016
    • Non-discretionary RAUM · $2.8B to $1.8B
      Feb 5, 2015 to Apr 3, 2015
    • RAUM · $2.8B to $1.8B
      Feb 5, 2015 to Apr 3, 2015
    • Accounts · 23 to 22
      Aug 19, 2014 to Nov 13, 2014
    • BD registered reps · 10 to 5
      Aug 19, 2014 to Nov 13, 2014
    • Employees · 12 to 9
      Aug 19, 2014 to Nov 13, 2014
    • Insurance-licensed employees · 0 to 1
      Aug 19, 2014 to Nov 13, 2014
    • Non-discretionary RAUM · $2.9B to $2.8B
      Aug 19, 2014 to Nov 13, 2014
    • RAUM · $2.9B to $2.8B
      Aug 19, 2014 to Nov 13, 2014
    • Accounts · 24 to 23
      Jul 23, 2013 to Mar 31, 2014
    • Advisory employees · 6 to 4
      Jul 23, 2013 to Mar 31, 2014
    • BD registered reps · 13 to 10
      Jul 23, 2013 to Mar 31, 2014
    • Employees · 14 to 12
      Jul 23, 2013 to Mar 31, 2014
    • State-registered IARs · 0 to 4
      Jul 23, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $3.3B to $2.9B
      Jul 23, 2013 to Mar 31, 2014
    • RAUM · $3.3B to $2.9B
      Jul 23, 2013 to Mar 31, 2014
    • Accounts · 21 to 24
      Dec 13, 2012 to Mar 28, 2013
    • Advisory employees · 5 to 6
      Dec 13, 2012 to Mar 28, 2013
    • BD registered reps · 10 to 13
      Dec 13, 2012 to Mar 28, 2013
    • Employees · 10 to 14
      Dec 13, 2012 to Mar 28, 2013
    • Financial planning clients · unset to 11-25
      Dec 13, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $2.7B to $3.3B
      Dec 13, 2012 to Mar 28, 2013
    • RAUM · $2.7B to $3.3B
      Dec 13, 2012 to Mar 28, 2013
    • Advisory employees · unset to 5.0
      Aug 31, 2012 to Dec 13, 2012
    • BD registered reps · unset to 10.0
      Aug 31, 2012 to Dec 13, 2012
    • Employees · unset to 10.0
      Aug 31, 2012 to Dec 13, 2012
    Signals
    No event on the tape.
    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