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

K••••• F•••••••• S••••••••• L••

Former SEC-registered adviserOverland Park, KansasCRD 290009SEC 801-112079IAPD
Latest filing Mar 29, 2018
First filing on the tape Oct 27, 2017 · 3 filings
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$279M as of Mar 29, 2018
Oct 27, 2017$0 then
HNW client RAUM$154M as of Mar 29, 2018
Oct 27, 2017$0 then
State-registered IARs (5.B.3)4 as of Mar 29, 2018
Oct 27, 20170 then
Employees (5.A)12 as of Mar 29, 2018
Oct 27, 20170 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$69.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$294,204derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
Custody
$61.0M, 77 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$154M55%
  • Individuals$124M45%
  • Corporations and businesses$568,0460.2%
Individual clients
284reported
HNW clients
92reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
948reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$61.0M for 77 clientsreported
Compensation
% of AUM, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• C••••• · Chief Operating Officer, Chief Strategy Officercontrol
      since 09/2013 · owns less than 5%
    • B•••••••• M•••••• C••••••••• · Chief Executive Officercontrol
      since 10/2017 · owns less than 5%
    • K•••••• P•••••••• B•••• · President/Managing Partnercontrol
      since 01/2018 · owns 25% to 50%
    • S••••• K••••••• D•••••• · Chief Investment Officercontrol
      since 01/2018 · owns less than 5%
    • B•••••••• M•••••• C••••••••• · Elected Managercontrol
      since 07/2007 · owns F of B••••••• F••••• H•••••• C••• L••
    • D•••••• A•••• J•••••• · Chief Compliance Officer
      since 03/2018 · owns less than 5%
    • S••••••• K••••• L•••• · Vice President Of Operations
      since 06/2012 · owns less than 5%
    Entity owners
    • M•••••• W••••• A•••••••• L•• · Managing Member
      direct · owns 50% to 75%
    • B••••••• F••••• H•••••• C••• L•• · Manager
      indirect · owns 75% or more of M•••••• H•••••••• L••
    • M•••••• H•••••••• L•• · Managing Member
      indirect · owns 75% or more of M•••••• W••••• A•••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list K••••• F•••••••• S••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Highlands Ranch, CO4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 948
      Nov 17, 2017 to Mar 29, 2018
    • Advisory employees · 0 to 6
      Nov 17, 2017 to Mar 29, 2018
    • Advisory activities · 6 to 5
      Nov 17, 2017 to Mar 29, 2018
    • BD registered reps · 0 to 3
      Nov 17, 2017 to Mar 29, 2018
    • Business name · M•••••• W••••• A••••••• to K••••• F•••••••• S••••••••• L••
      Nov 17, 2017 to Mar 29, 2018
    • Corporate clients · 0.0 to unset
      Nov 17, 2017 to Mar 29, 2018
    • HNW clients · 0 to 92
      Nov 17, 2017 to Mar 29, 2018
    • Individual clients · 0 to 284
      Nov 17, 2017 to Mar 29, 2018
    • Assets in custody · unset to 60982910.0
      Nov 17, 2017 to Mar 29, 2018
    • Custody of client assets · false to true
      Nov 17, 2017 to Mar 29, 2018
    • Employees · 0 to 12
      Nov 17, 2017 to Mar 29, 2018
    • Insurance-licensed employees · 0 to 4
      Nov 17, 2017 to Mar 29, 2018
    • Financial planning clients · 0 to 251-500
      Nov 17, 2017 to Mar 29, 2018
    • State-registered IARs · 0 to 4
      Nov 17, 2017 to Mar 29, 2018
    • Legal name · M•••••• W••••• A••••••••• M•••••••• L•• to K••••• F•••••••• S••••••••• L••
      Nov 17, 2017 to Mar 29, 2018
    • Other offices · 0 to 1
      Nov 17, 2017 to Mar 29, 2018
    • Discretionary RAUM · $0 to $279M
      Nov 17, 2017 to Mar 29, 2018
    • HNW RAUM · $0 to $154M
      Nov 17, 2017 to Mar 29, 2018
    • Individual RAUM · $0 to $124M
      Nov 17, 2017 to Mar 29, 2018
    • RAUM · $0 to $279M
      Nov 17, 2017 to Mar 29, 2018
    Signals
    1 dated events
    • M•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Oct 27, 2017 · 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