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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SEC-registered adviser
S••• F•••••••• G••••
Legal name S••• F•••••••• S•••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jun 29, 2022 · 13 filings
SEC status approved since Jul 29, 2022
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$14.5M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$175M as of Jun 24, 2026
Mar 15, 2023$119M then
HNW client RAUM$99.0M as of Jun 24, 2026
Mar 15, 2023$56.9M then
State-registered IARs (5.B.3)12 as of Jun 24, 2026
Mar 15, 20235 then
Employees (5.A)12 as of Jun 24, 2026
Mar 15, 20236 then
Private funds: no history
RAUM +26% over the last fiscal year+14% a year over threeIARs 9 to 12offices 5 to 6
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $14.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $184,123derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $103M, 218 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$99.0M57%
- Individuals$75.4M43%
- Charitable organizations$142,1480.1%
- Individual clients
- 336reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 948reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 218 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• D••• K••••••Certified Financial Planner | Mcpherson, Ks | Mar 9, 2017 | 16 y | 4 |
| J••• E••• A•••••••Personal Financial Specialist | Manhattan, Ks | Feb 3, 2020 | 23 y | 0 |
| A••• L•••• G•••••••Personal Financial Specialist | Mcpherson, Ks | Oct 11, 2022 | 10 y | 0 |
| C••• L•• B•••••• | Mcpherson, Ks | Jan 19, 2023 | 20 y | 3 |
| J••••• D••• K•••••• | Mcpherson, Ks | Jan 20, 2023 | 14 y | 0 |
| D••••• W••• A••••••• | Mcpherson, Ks | Aug 31, 2023 | 14 y | 0 |
| J••••• A••••• R••••••• | Mcpherson, Ks | Oct 21, 2023 | 16 y | 0 |
| S••••• A•• W••••• | Mcpherson, Ks | Nov 10, 2023 | 10 y | 0 |
| R•••••• A••• S•••••••• | Wichita, Ks | Jan 12, 2024 | 26 y | 0 |
| R•••• C•••••• N••••Personal Financial Specialist | Rio Rancho, Nm | May 27, 2025 | 19 y | 1 |
| M•••••• R••••• K•••••• | Mcpherson, Ks | Oct 15, 2025 | 10 y | 0 |
| C••••••••• M•••••• S•••••••• | Mcpherson, Ks | Apr 28, 2026 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- E•••• M•••• S•••••• to L••••• F•••••••• S••••••••• L••Jan 15, 2025 · RIA to RIA
Joined, latest
- R•••• C•••••• N•••• from A••••• I••••••••• C•••••••••May 27, 2025 · RIA to RIA
- T•••••• D••• K•••••• from W••••• M•••••••••Mar 9, 2017 · Other
- C••• L•• B•••••• from W••••• M•••••••••Mar 9, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••• M•••••••••Mar 14, 2018 · Norfolk, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C•••• L•• · Managing Membercontrolsince 12/2012 · owns 25% to 50%
- H•••• K•••• J• · Membercontrolsince 12/2012 · owns 25% to 50%
- J•••••• K••••• S••••• · Membercontrolsince 12/2012 · owns 25% to 50%
- K••••••• T••••••• D••• · Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• J•••••• H••• • L•••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mcpherson, Ks · principal | 12 | 2 | 0 | ||
| Wichita, Ks | 3 | 0 | 0 | ||
| Rio Rancho, Nm | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hutchinson, KS1 employees
- Manhattan, KS1 employees
- Manhattan, KS1 employees
- Newton, KS1 employees
- Wichita, KS1 employees
- Salina, KS
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 16, 2026 to Jun 24, 2026
- Employees · 11 to 12Mar 16, 2026 to Jun 24, 2026
- State-registered IARs · 11 to 12Mar 16, 2026 to Jun 24, 2026
- Accounts · 846 to 948Oct 20, 2025 to Mar 16, 2026
- Advisory employees · 5 to 4Oct 20, 2025 to Mar 16, 2026
- HNW clients · 45 to 48Oct 20, 2025 to Mar 16, 2026
- Individual clients · 299 to 336Oct 20, 2025 to Mar 16, 2026
- Assets in custody · $92.5M to $103MOct 20, 2025 to Mar 16, 2026
- Financial planning clients · 11-25 to 101-250Oct 20, 2025 to Mar 16, 2026
- Other offices · 5 to 6Oct 20, 2025 to Mar 16, 2026
- Discretionary RAUM · $139M to $175MOct 20, 2025 to Mar 16, 2026
- HNW RAUM · $82.8M to $99.0MOct 20, 2025 to Mar 16, 2026
- Individual RAUM · $55.8M to $75.4MOct 20, 2025 to Mar 16, 2026
- RAUM · $139M to $175MOct 20, 2025 to Mar 16, 2026
- Advisory employees · 4 to 5Jul 10, 2025 to Oct 20, 2025
- Employees · 10 to 11Jul 10, 2025 to Oct 20, 2025
- State-registered IARs · 10 to 11Jul 10, 2025 to Oct 20, 2025
- Advisory employees · 3 to 4Mar 25, 2025 to Jul 10, 2025
- Employees · 9 to 10Mar 25, 2025 to Jul 10, 2025
- Financial planning clients · 11-25 to 11-25Mar 25, 2025 to Jul 10, 2025
- State-registered IARs · 9 to 10Mar 25, 2025 to Jul 10, 2025
- Accounts · 766 to 846Sep 6, 2024 to Mar 25, 2025
- Advisory employees · 4 to 3Sep 6, 2024 to Mar 25, 2025
- HNW clients · 44 to 45Sep 6, 2024 to Mar 25, 2025
- Individual clients · 274 to 299Sep 6, 2024 to Mar 25, 2025
- Assets in custody · $86.1M to $92.5MSep 6, 2024 to Mar 25, 2025
- Employees · 10 to 9Sep 6, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 11-25Sep 6, 2024 to Mar 25, 2025
- State-registered IARs · 10 to 9Sep 6, 2024 to Mar 25, 2025
- Other offices · 6 to 5Sep 6, 2024 to Mar 25, 2025
- Discretionary RAUM · $126M to $139MSep 6, 2024 to Mar 25, 2025
- HNW RAUM · $78.6M to $82.8MSep 6, 2024 to Mar 25, 2025
- Individual RAUM · $47.4M to $55.8MSep 6, 2024 to Mar 25, 2025
- RAUM · $126M to $139MSep 6, 2024 to Mar 25, 2025
- Accounts · 1,043 to 766May 11, 2023 to Mar 25, 2024
- Advisory employees · 6 to 4May 11, 2023 to Mar 25, 2024
- Charity clients · 2 to 1May 11, 2023 to Mar 25, 2024
- HNW clients · 32 to 44May 11, 2023 to Mar 25, 2024
- Individual clients · 292 to 274May 11, 2023 to Mar 25, 2024
- Pension plan clients · 15.0 to unsetMay 11, 2023 to Mar 25, 2024
Signals
2 dated events
- E•••• M•••• S•••••• left S••• F•••••••• G•••• for L••••• F•••••••• S••••••••• L•• (registered 2025-02-13)Jan 15, 2025 · Advisor changed firm · fact
- S••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Jun 29, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- H••••://S•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 620-241-1826reportedpublic record, Form ADV, Jun 24, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026