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
P••••••• F•••••••• S•••••••
Legal name P••••••• F•••••••• S•••••••• L••
Latest filing Mar 31, 2025
First filing on the tape Jul 14, 2015 · 24 filings
SEC status approved since Jul 16, 2015
RAUM
$204M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$194M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$204M as of Mar 31, 2025
Mar 15, 2016$127M then
HNW client RAUM$153M as of Mar 31, 2025
Mar 29, 2018$94.3M then
State-registered IARs (5.B.3)3 as of Mar 31, 2025
Mar 15, 20164 then
Employees (5.A)3 as of Mar 31, 2025
Mar 15, 20165 then
Private funds: no history
RAUM +10% over the last fiscal year+4.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $412,789derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $4.2M, 4 clientsreportedItem 9.A
- 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)
- 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
- High-net-worth individuals$153M76%
- Individuals$41.3M21%
- Charitable organizations$6.5M3.2%
- Individual clients
- 107reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 493reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 4 clientsreported
- 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
Left, latest
- A•••••••• M•••••• P••••••• to C•••••• W••••• M••••••••• L••Aug 12, 2025 · Other
- B••••• C• S••••• to C•••••• W••••• M••••••••• L••Apr 5, 2025 · Other
- R•• R•• A••••••• to K••• W••••• A•••••••Jun 30, 2017 · Other
Joined, latest
- R•• R•• A••••••• from W•••••• • R•••Mar 17, 2017 · Other
- A•••••••• M•••••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 21, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• A••••••••• M•••••• · President / Manager / Member /Chief Compliance Officercontrolsince 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Prairie Village, Ks · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 519 to 493Mar 27, 2024 to Mar 31, 2025
- HNW clients · 58 to 57Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $3.9M to $4.2MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $177M to $194MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $131M to $153MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $45.7M to $41.3MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $8.2M to $9.3MMar 27, 2024 to Mar 31, 2025
- RAUM · $185M to $204MMar 27, 2024 to Mar 31, 2025
- Accounts · 556 to 519Mar 27, 2023 to Mar 27, 2024
- HNW clients · 48 to 58Mar 27, 2023 to Mar 27, 2024
- Individual clients · 116 to 107Mar 27, 2023 to Mar 27, 2024
- Assets in custody · $3.6M to $3.9MMar 27, 2023 to Mar 27, 2024
- Financial planning clients · 51-100 to 101-250Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $146M to $177MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $101M to $131MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $44.9M to $45.7MMar 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.3M to $8.2MMar 27, 2023 to Mar 27, 2024
- RAUM · $153M to $185MMar 27, 2023 to Mar 27, 2024
- RAUM · $179M to $153MMay 3, 2022 to Mar 27, 2023
- Accounts · 558 to 556May 3, 2022 to Mar 27, 2023
- HNW clients · 56 to 48May 3, 2022 to Mar 27, 2023
- Individual clients · 107 to 116May 3, 2022 to Mar 27, 2023
- Assets in custody · $4.4M to $3.6MMay 3, 2022 to Mar 27, 2023
- Discretionary RAUM · $169M to $146MMay 3, 2022 to Mar 27, 2023
- HNW RAUM · $125M to $101MMay 3, 2022 to Mar 27, 2023
- Individual RAUM · $44.3M to $44.9MMay 3, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $10.2M to $7.3MMay 3, 2022 to Mar 27, 2023
- Accounts · 539 to 558Mar 31, 2021 to Mar 18, 2022
- HNW clients · 51 to 56Mar 31, 2021 to Mar 18, 2022
- Assets in custody · $8.5M to $4.4MMar 31, 2021 to Mar 18, 2022
- Discretionary RAUM · $153M to $169MMar 31, 2021 to Mar 18, 2022
- HNW RAUM · $111M to $125MMar 31, 2021 to Mar 18, 2022
- Individual RAUM · $42.1M to $44.3MMar 31, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $9.6M to $10.2MMar 31, 2021 to Mar 18, 2022
- RAUM · $162M to $179MMar 31, 2021 to Mar 18, 2022
- Accounts · 532 to 539Dec 14, 2020 to Mar 31, 2021
- HNW clients · 48 to 51Dec 14, 2020 to Mar 31, 2021
- Assets in custody · $3.7M to $8.5MDec 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $142M to $153MDec 14, 2020 to Mar 31, 2021
Signals
4 dated events
- P••••••• F•••••••• S••••••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $203.5M)Sep 2, 2025 · Left the SEC roster · derived
- A•••••••• M•••••• P••••••• left P••••••• F•••••••• S••••••• for C•••••• W••••• M••••••••• L•• (registered 2025-01-14)Aug 12, 2025 · Advisor changed firm · fact
- B••••• C• S••••• left P••••••• F•••••••• S••••••• for C•••••• W••••• M••••••••• L•• (registered 2025-01-14)Apr 5, 2025 · Advisor changed firm · fact
- P••••••• W••••• F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Jul 14, 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