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

N•••••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 269961SEC 801-101507IAPD
Latest filing Aug 17, 2018
First filing on the tape Jul 9, 2015 · 12 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$0 as of Feb 15, 2018
Mar 8, 2017$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)2 as of Feb 15, 2018
Feb 19, 20161 then
Employees (5.A)2 as of Feb 15, 2018
Feb 19, 20161 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Aug 17, 2018; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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
  • 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• P••••• A••• · Managing Membercontrol
        since 04/2017 · owns 75% or more
      • P•••• K••••••• R•••••• · Chief Compliance Officercontrol
        since 11/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••• P••••••• B•••••••
        real estaten
      • C••••••• P••••••• L••••• P•••
        n
      • C••••••• P••••••• P••••••• • C•••••••• L••
        real estaten
      • C••••••• P••••••• R••• M•••••••••
        real estaten
      • C••••••• P••••••• T••• L••
        insurancen
      • C••••••• P••••••• T•••• C••••••• L••
        n
      • C••••••• P•••••••
        investment advisernRAUM $296B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · LEAWOOD to OVERLAND PARK
        Jul 24, 2018 to Aug 17, 2018
      • Charity clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Corporate clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • HNW clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Individual clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Pension plan clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • State-registered IARs · 1 to 2
        Jan 19, 2018 to Feb 15, 2018
      • HNW RAUM · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Individual RAUM · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Pension RAUM · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 19, 2018 to Feb 15, 2018
      • Other offices · unset to 0.0
        May 5, 2017 to Nov 27, 2017
      • Advisory employees · 1 to 2
        Mar 8, 2017 to May 5, 2017
      • Employees · 1 to 2
        Mar 8, 2017 to May 5, 2017
      • Insurance-licensed employees · 1 to 2
        Mar 8, 2017 to May 5, 2017
      • Related insurance company · false to true
        Mar 8, 2017 to May 5, 2017
      • Accounts · unset to 0.0
        Feb 19, 2016 to Mar 8, 2017
      • Financial planning clients · 0 to unset
        Feb 19, 2016 to Mar 8, 2017
      • Discretionary RAUM · unset to 0.0
        Feb 19, 2016 to Mar 8, 2017
      • Non-discretionary RAUM · unset to 0.0
        Feb 19, 2016 to Mar 8, 2017
      • RAUM · unset to 0.0
        Feb 19, 2016 to Mar 8, 2017
      • Accounts · 0.0 to unset
        Jan 4, 2016 to Feb 19, 2016
      • State-registered IARs · 0 to 1
        Jan 4, 2016 to Feb 19, 2016
      • Discretionary RAUM · 0.0 to unset
        Jan 4, 2016 to Feb 19, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Jan 4, 2016 to Feb 19, 2016
      • RAUM · 0.0 to unset
        Jan 4, 2016 to Feb 19, 2016
      • Related adviser · false to true
        Jul 22, 2015 to Jan 4, 2016
      Signals
      1 dated events
      • N•••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 9, 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