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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
6• M••••••• L••
Latest filing Jul 1, 2021
First filing on the tape Jul 8, 2016 · 20 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
63%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.9B as of Mar 26, 2021
Mar 7, 2017$1.9B then
HNW client RAUM$1.1B as of Mar 26, 2021
Mar 19, 2018$1.1B then
State-registered IARs (5.B.3)19 as of Mar 26, 2021
Mar 7, 201712 then
Employees (5.A)23 as of Mar 26, 2021
Mar 7, 201712 then
Private funds: no history
RAUM +3.1% over the last fiscal year+9.1% a year over threeIARs 18 to 19offices 0 to 1
Practice profile
derived from the filing of Jul 1, 2021; every figure names its basis
- RAUM per advisor
- $97.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $474,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.7BreportedItem 5.I
- 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
- High-net-worth individuals$1.1B62%
- Investment companies$453M24%
- Pooled investment vehicles$115M6.2%
- Corporations and businesses$80.4M4.3%
- Charitable organizations$33.0M1.8%
- Individuals$31.9M1.7%
- Individual clients
- 149reported
- HNW clients
- 489reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 3,907reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $150M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- T••••• H•••• K••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- J•••• M••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- M••••••• A•• D•••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- A••••• J•• M•••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- S•••• J••• H•••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- A•••• D••••• W•••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- D••••• R•••• R••••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- B•••• S•••• G•••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- D•••• G••••• P••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- A••••• J••• M••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- T••••• L•••••••• P•••••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- T•••••• J••• L•••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- S•••••••• C•••••••• M••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- M••••• H••••• P••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
- J••••• A•••• B•••••••• to H•••••••• 6• H••••••• L••Feb 25, 2022 · RIA to a newly registered adviser
Joined, latest
- T•••••• J••• L•••• from K•••••• W••••• M•••••••••May 18, 2021 · RIA to RIA
- J••••• M• S•••••• from C••••••• P•••••••Oct 6, 2020 · RIA to RIA
- T••••• H•••• K••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••••• A•• D•••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• J•• M•••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• J••• H•••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••• D••••• W•••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D••••• R•••• R••••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• S•••• G•••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• J••• M••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T••••• L•••••••• P•••••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••••••• C•••••••• M••••• from M••••• S••••••Sep 9, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 18 left for H•••••••• 6• H••••••• L••Feb 25, 2022 · Wichita, Ks · Firm absorbed
- 10 joined from M••••• S••••••Sep 19, 2016 · Wichita, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• T•••••• H•••• · Membercontrolsince 09/2016 · owns 25% to 50%
- D••••••• M•••••••• A•• · Membersince 09/2016 · owns 10% to 25%
- G••••• B••••• S•••• · Membersince 09/2016 · owns 10% to 25%
- H••••••• S••••• J••• · Membersince 09/2016 · owns 5% to 10%
- M•••• A•••••• J••• · Membersince 09/2016 · owns 10% to 25%
- S••••••••• A••••• A•• · Chief Compliance Officersince 06/2021 · owns less than 5%
- S••••• P•••••• A•• · Membersince 09/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 26, 2021 to May 18, 2021
- Accounts · 3,936 to 3,907Sep 8, 2020 to Mar 26, 2021
- Advisory employees · 14 to 19Sep 8, 2020 to Mar 26, 2021
- BD registered reps · 10 to 16Sep 8, 2020 to Mar 26, 2021
- Charity clients · 2 to 4Sep 8, 2020 to Mar 26, 2021
- Corporate clients · 6 to 8Sep 8, 2020 to Mar 26, 2021
- Individual clients · 133 to 149Sep 8, 2020 to Mar 26, 2021
- Pooled vehicle clients · 2 to 5Sep 8, 2020 to Mar 26, 2021
- Employees · 21 to 23Sep 8, 2020 to Mar 26, 2021
- State-registered IARs · 18 to 19Sep 8, 2020 to Mar 26, 2021
- Discretionary RAUM · $1.9B to $1.2BSep 8, 2020 to Mar 26, 2021
- HNW RAUM · $1.7B to $1.1BSep 8, 2020 to Mar 26, 2021
- Individual RAUM · $29.3M to $31.9MSep 8, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $393M to $622MSep 8, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $74.9M to $115MSep 8, 2020 to Mar 26, 2021
- RAUM · $2.3B to $1.9BSep 8, 2020 to Mar 26, 2021
- Related broker-dealer · true to falseSep 8, 2020 to Mar 26, 2021
- Advisory activities · 5 to 6Aug 20, 2020 to Sep 8, 2020
- Pooled vehicle clients · unset to 2.0Aug 20, 2020 to Sep 8, 2020
- Discretionary RAUM · $1.4B to $1.9BAug 20, 2020 to Sep 8, 2020
- Pooled vehicle RAUM · unset to 74852135.0Aug 20, 2020 to Sep 8, 2020
- RAUM · $1.8B to $2.3BAug 20, 2020 to Sep 8, 2020
- Accounts · 3,526 to 3,936Aug 13, 2019 to Mar 19, 2020
- Advisory employees · 10 to 14Aug 13, 2019 to Mar 19, 2020
- BD registered reps · 8 to 10Aug 13, 2019 to Mar 19, 2020
- Charity clients · 6 to 2Aug 13, 2019 to Mar 19, 2020
- Corporate clients · 14 to 6Aug 13, 2019 to Mar 19, 2020
- HNW clients · 260 to 489Aug 13, 2019 to Mar 19, 2020
- Individual clients · 309 to 133Aug 13, 2019 to Mar 19, 2020
- Employees · 20 to 21Aug 13, 2019 to Mar 19, 2020
- State-registered IARs · 15 to 18Aug 13, 2019 to Mar 19, 2020
- Discretionary RAUM · $1.1B to $1.4BAug 13, 2019 to Mar 19, 2020
- HNW RAUM · $1.2B to $1.7BAug 13, 2019 to Mar 19, 2020
- Individual RAUM · $118M to $29.3MAug 13, 2019 to Mar 19, 2020
- Non-discretionary RAUM · $330M to $393MAug 13, 2019 to Mar 19, 2020
- RAUM · $1.5B to $1.8BAug 13, 2019 to Mar 19, 2020
- Wrap assets (sponsor) · $330M to $150MAug 13, 2019 to Mar 19, 2020
- Accounts · 3,077 to 3,526Feb 19, 2019 to Mar 11, 2019
- Advisory employees · 11 to 10Feb 19, 2019 to Mar 11, 2019
- Charity clients · 12 to 6Feb 19, 2019 to Mar 11, 2019
Signals
23 dated events
- J••••• M• S•••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- M••••• H••••• P••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- J••••• A•••• B•••••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-04)Feb 25, 2022 · Advisor changed firm · fact
- T•••••• J••• L•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-04)Feb 25, 2022 · Advisor changed firm · fact
- A•••• H•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-04)Feb 25, 2022 · Advisor changed firm · fact
- D•••• G••••• P••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- A••••• J••• M••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- J•••• M••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-04)Feb 25, 2022 · Advisor changed firm · fact
- R••••• B•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- M••••••• A•• D•••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- T••••• H•••• K••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- D••••• R•••• R••••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- B•••• S•••• G•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- T••••• L•••••••• P•••••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- S•••••••• C•••••••• M••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- A••••• J•• M•••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- S•••• J••• H•••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- A•••• D••••• W•••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)Feb 25, 2022 · Advisor changed firm · fact
- 6• M••••••• L••'s advisors moved to H•••••••• 6• H••••••• L•• (Wichita, KS): 17 of 18 registered, on the same dayFeb 25, 2022 · Firm absorbed (people side) · derived
- 6• M••••••• L•• reported RAUM $2.3B, up 27% from $1.8B (2020-08-20 to 2020-09-08)Sep 8, 2020 · RAUM change · derived
- Joseph Mark Deangelis (Chief Compliance Officer) appeared on Schedule A of 6• M••••••• L••Sep 8, 2020 · Control person joined · fact
- Renea Denice Robinson (Chief Compliance Officer) no longer on Schedule A of 6• M••••••• L•• (listed 2020-08-20, absent 2020-09-08)Sep 8, 2020 · Control person left · inference
- L••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Jul 8, 2016 · 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