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

L••••• A••••••• G••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 285596SEC 801-108524IAPD
Latest filing Jul 2, 2019
First filing on the tape Oct 7, 2016 · 7 filings
RAUM
$34.8M
reported, Item 5.F
Discretionary
32%
of RAUM
Private clients
100%
$34.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$34.8M as of Jul 2, 2019
Apr 3, 2017$101M then
HNW client RAUM$23.7M as of Jul 2, 2019
Jun 28, 2018$35.0M then
State-registered IARs (5.B.3)3 as of Jul 2, 2019
Apr 3, 20173 then
Employees (5.A)4 as of Jul 2, 2019
Apr 3, 20174 then
Private funds: 4
RAUM -29% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jul 2, 2019; every figure names its basis
RAUM per advisor
$11.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$122,908derivedRAUM over accounts (5.F.2.f)
Discretionary
32%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$23.7M68%
  • Individuals$11.1M32%
Individual clients
39reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
283reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••no longer reportedVenture Capital Fund$1.0M7Oct 7, 2016
      L••no longer reportedVenture Capital Fund$330,0008Oct 7, 2016
      L••no longer reportedVenture Capital Fund$280,0005Oct 7, 2016
      L••no longer reportedVenture Capital Fund$275,0003Oct 7, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• J••• · Manager Director And Chief Compliance Officercontrol
        since 09/2016 · owns less than 5%
      • K•••••• V••••••• A•• · Ownercontrol
        since 09/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      • J••• K••••• I••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 53 to 283
        Jul 26, 2018 to Jul 2, 2019
      • HNW clients · 13 to 7
        Jul 26, 2018 to Jul 2, 2019
      • Pension plan clients · 2.0 to unset
        Jul 26, 2018 to Jul 2, 2019
      • Discretionary RAUM · $47.0M to $11.1M
        Jul 26, 2018 to Jul 2, 2019
      • HNW RAUM · $35.0M to $23.7M
        Jul 26, 2018 to Jul 2, 2019
      • Individual RAUM · $12.5M to $11.1M
        Jul 26, 2018 to Jul 2, 2019
      • Non-discretionary RAUM · $2.0M to $23.7M
        Jul 26, 2018 to Jul 2, 2019
      • Pension RAUM · 1500000.0 to unset
        Jul 26, 2018 to Jul 2, 2019
      • RAUM · $49.0M to $34.8M
        Jul 26, 2018 to Jul 2, 2019
      • Accounts · 449 to 53
        Apr 3, 2017 to Jun 28, 2018
      • HNW clients · unset to 13.0
        Apr 3, 2017 to Jun 28, 2018
      • Individual clients · unset to 39.0
        Apr 3, 2017 to Jun 28, 2018
      • Pension plan clients · unset to 2.0
        Apr 3, 2017 to Jun 28, 2018
      • Financial planning clients · 26-50 to 1-10
        Apr 3, 2017 to Jun 28, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Jun 28, 2018
      • Private funds · 4 to unset
        Apr 3, 2017 to Jun 28, 2018
      • Discretionary RAUM · $25.0M to $47.0M
        Apr 3, 2017 to Jun 28, 2018
      • HNW RAUM · unset to 35000000.0
        Apr 3, 2017 to Jun 28, 2018
      • Individual RAUM · unset to 12500000.0
        Apr 3, 2017 to Jun 28, 2018
      • Non-discretionary RAUM · $76.0M to $2.0M
        Apr 3, 2017 to Jun 28, 2018
      • Pension RAUM · unset to 1500000.0
        Apr 3, 2017 to Jun 28, 2018
      • RAUM · $101M to $49.0M
        Apr 3, 2017 to Jun 28, 2018
      • Accounts · 467 to 449
        Oct 7, 2016 to Apr 3, 2017
      • Discretionary RAUM · $27.0M to $25.0M
        Oct 7, 2016 to Apr 3, 2017
      • RAUM · $103M to $101M
        Oct 7, 2016 to Apr 3, 2017
      • Succession · true to false
        Oct 7, 2016 to Apr 3, 2017
      Signals
      2 dated events
      • L••••• A••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 7, 2016 · Succession (Item 4) · fact
      • L••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Oct 7, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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