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• C•••••• M••••• S••••••••• L••

Former SEC-registered adviserAlpharetta, GeorgiaCRD 284473SEC 801-108189IAPD
Latest filing Apr 6, 2020
First filing on the tape Jul 21, 2016 · 13 filings
RAUM
$506M
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
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$506M as of Apr 6, 2020
Mar 30, 2017$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 6, 2020
Mar 30, 20174 then
Employees (5.A)9 as of Apr 6, 2020
Mar 30, 201710 then
Private funds: no history
RAUM -78% over the last fiscal year-53% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Apr 6, 2020; every figure names its basis
RAUM per advisor
$169MderivedRAUM 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
$84.4MderivedRAUM 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
3.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-78%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$506M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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•••••• C•••••• · Presidentcontrol
      since 06/2016 · owns 25% to 50%
    • L•••••• L••••• N••••• · Ceocontrol
      since 06/2016 · owns 25% to 50%
    • M•••••••• W••••••• T••••• · Membercontrol
      since 06/2016 · owns 25% to 50%
    • C•••••• W••••••• E• · Cco
      since 03/2020 · owns less than 5%
    Entity owners
    • J•••••••• F•••••••• C••••• U•••• · Unit Holder
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Overland Park, KS3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 7 to 6
      Mar 27, 2020 to Apr 6, 2020
    • Advisory employees · 5 to 3
      Mar 27, 2020 to Apr 6, 2020
    • Employees · 10 to 9
      Mar 27, 2020 to Apr 6, 2020
    • Financial planning clients · unset to 0
      Mar 27, 2020 to Apr 6, 2020
    • State-registered IARs · 4 to 3
      Mar 27, 2020 to Apr 6, 2020
    • Non-discretionary RAUM · $2.3B to $506M
      Mar 27, 2020 to Apr 6, 2020
    • RAUM · $2.3B to $506M
      Mar 27, 2020 to Apr 6, 2020
    • Accounts · 14 to 7
      Apr 10, 2018 to Mar 25, 2019
    • Advisory employees · 6 to 5
      Apr 10, 2018 to Mar 25, 2019
    • BD registered reps · 2 to 0
      Apr 10, 2018 to Mar 25, 2019
    • Pooled vehicle clients · 1.0 to unset
      Apr 10, 2018 to Mar 25, 2019
    • Employees · 12 to 10
      Apr 10, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $437M to $2.3B
      Apr 10, 2018 to Mar 25, 2019
    • RAUM · $437M to $2.3B
      Apr 10, 2018 to Mar 25, 2019
    • Accounts · 11 to 14
      Mar 30, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 1.0
      Mar 30, 2017 to Mar 28, 2018
    • Employees · 10 to 12
      Mar 30, 2017 to Mar 28, 2018
    • Other offices · unset to 1.0
      Mar 30, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $4.9B to $437M
      Mar 30, 2017 to Mar 28, 2018
    • RAUM · $4.9B to $437M
      Mar 30, 2017 to Mar 28, 2018
    • Related broker-dealer · true to false
      Mar 30, 2017 to Mar 28, 2018
    • Accounts · 9 to 11
      Dec 2, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $799M to $4.9B
      Dec 2, 2016 to Mar 30, 2017
    • RAUM · $799M to $4.9B
      Dec 2, 2016 to Mar 30, 2017
    • Accounts · 10 to 9
      Sep 13, 2016 to Oct 20, 2016
    • Advisory employees · 4 to 6
      Sep 13, 2016 to Oct 20, 2016
    • Employees · 8 to 10
      Sep 13, 2016 to Oct 20, 2016
    • Non-discretionary RAUM · $861M to $799M
      Sep 13, 2016 to Oct 20, 2016
    • RAUM · $861M to $799M
      Sep 13, 2016 to Oct 20, 2016
    • Succession · true to false
      Jul 21, 2016 to Jul 21, 2016
    Signals
    5 dated events
    • C• C•••••• M••••• S••••••••• L•• reported RAUM $506.5M, down 78% from $2.3B (2020-03-27 to 2020-04-06)
      Apr 6, 2020 · RAUM change · derived
    • C• C•••••• M••••• S••••••••• L•• reported RAUM $2.3B, up 416% from $436.6M (2018-04-10 to 2019-03-25)
      Mar 25, 2019 · RAUM change · derived
    • C• C•••••• M••••• S••••••••• L•• reported RAUM $436.6M, down 91% from $4.9B (2017-03-30 to 2018-03-28)
      Mar 28, 2018 · RAUM change · derived
    • C• C•••••• M••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 21, 2016 · Succession (Item 4) · fact
    • C• C•••••• M••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 21, 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