DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

A•••••••••

Former SEC-registered adviserFormer SEC adviser· Overland Park, Kansas

Former SEC-registered adviser, based in Overland Park, Kansas, reporting $272,631 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$272,631
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+2726210%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $272,631
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 285244 · SEC 801-108471 · 4 filingsShow
CRD 285244SEC 801-108471Legal name R•• G••••• A•••• M••••••••• L••First filing on the tape Sep 23, 2016, latest Mar 1, 2018IAPD
RAUM
$272,631
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$272,631 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$272,631 as of Mar 1, 2018
Feb 27, 2017$10 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 1, 2018
Feb 27, 20171 then
Employees (5.A)1 as of Mar 1, 2018
Feb 27, 20171 then
Private funds: no history
RAUM +2726210% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 1, 2018; every figure names its basis
RAUM per advisor
$272,631derivedRAUM 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
$34,079derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2726210%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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
  • Individuals$272,631100%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••• D••••••• E••• · Managing Member, Ccocontrol
    since 08/2016 · owns 75% or more
Related persons
Schedule D 7.A
  • R••• F•••••••• G••••• I•••
    investment advisern
Offices
Schedule D 1.F, the 25 largest
  • Moca, PR1 employees
What changed
consecutive filings, newest first
  • Accounts · 1 to 8
    Feb 27, 2017 to Mar 1, 2018
  • Individual clients · unset to 8.0
    Feb 27, 2017 to Mar 1, 2018
  • Other offices · unset to 1.0
    Feb 27, 2017 to Mar 1, 2018
  • Discretionary RAUM · $10 to $272,631
    Feb 27, 2017 to Mar 1, 2018
  • Individual RAUM · unset to 272631.0
    Feb 27, 2017 to Mar 1, 2018
  • RAUM · $10 to $272,631
    Feb 27, 2017 to Mar 1, 2018
  • Accounts · 0 to 1
    Jan 20, 2017 to Feb 27, 2017
  • Discretionary RAUM · $0 to $10
    Jan 20, 2017 to Feb 27, 2017
  • RAUM · $0 to $10
    Jan 20, 2017 to Feb 27, 2017
Signals
1 dated events
  • ••• Locked
    Sep 23, 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