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
W••••• A••••••• A••••••• G••••• L••
Latest filing Jun 3, 2026
First filing on the tape Oct 12, 2017 · 32 filings
SEC status approved since Nov 13, 2017
RAUM
$979M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
77%
$754M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$163M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$979M as of Jun 3, 2026
Mar 28, 2018$267M then
HNW client RAUM$546M as of Jun 3, 2026
Mar 28, 2018$160M then
State-registered IARs (5.B.3)7 as of Jun 3, 2026
Mar 28, 20183 then
Employees (5.A)7 as of Jun 3, 2026
Mar 28, 20183 then
Private funds: no history
RAUM +22% over the last fiscal year+23% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jun 3, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 153derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $996,565derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 804reportedItem 5.H
- Wrap fee program
- $822MreportedItem 5.I
- Custody
- $149M, 186 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)
- 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$546M56%
- Individuals$209M21%
- Pension and profit-sharing plans$157M16%
- Corporations and businesses$35.5M3.6%
- Charitable organizations$32.1M3.3%
- Individual clients
- 693reported
- HNW clients
- 223reported
- Pension plan clients
- 45reported
- Charitable clients
- 5reported
- Accounts
- 982reported
- Financial planning clients
- 804reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $149M for 186 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• W••••••• D••••• | Wichita, Ks | Nov 30, 2017 | 27 y | 1 |
| M•••••• G••• C••••• | Wichita, Ks | Nov 30, 2017 | 19 y | 1 |
| B•••• R• V•• B••••• | Wichita, Ks | Nov 30, 2017 | 28 y | 1 |
| A••••• S••••• | Wichita, Ks | Jan 4, 2022 | 12 y | 1 |
| D••••••• J••• D••••• | Wichita, Ks | May 10, 2024 | 13 y | 0 |
| C•••• C••• A•••• | Wichita, Ks | May 29, 2026 | 14 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- T•••• J•••• P•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 25, 2025 · RIA to affiliated broker-dealer or bank
- C•••••• L••••• P•••• to M••••• S••••••Sep 30, 2021 · RIA to wirehouse
Joined, latest
- C•••• C••• A•••• from A••••••••• W••••• C••••••••• L••May 29, 2026 · RIA to RIA
- A••••• S••••• from U•• F•••••••• S••••••• I•••Jan 4, 2022 · Wirehouse to independent RIA
- T•••• J•••• P•••••• from P•••• S••••••••• L••Oct 4, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• L••••• P•••• from T• A••••••••• I•••Jun 5, 2020 · Other
- B•••• R• V•• B••••• from U•• F•••••••• S••••••• I•••Nov 30, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••• W••••••• D••••• from U•• F•••••••• S••••••• I•••Nov 30, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• G••• C••••• from U•• F•••••••• S••••••• I•••Nov 30, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from U•• F•••••••• S••••••• I•••Dec 11, 2017 · Wichita, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• G••• · Member, Chief Compliance Officer, Chief Investment Officercontrolsince 11/2017 · owns 25% to 50%
- D•••••• G•••• W••••••• · Managing Member And Chief Executive Officercontrolsince 11/2017 · owns 75% or more
Related persons
Schedule D 7.A
- P•••••••• P•••••• S••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wichita, Ks · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Feb 20, 2026 to Jun 3, 2026
- Employees · 6 to 7Feb 20, 2026 to Jun 3, 2026
- State-registered IARs · 6 to 7Feb 20, 2026 to Jun 3, 2026
- Accounts · 907 to 982Nov 19, 2025 to Feb 20, 2026
- Advisory employees · 7 to 6Nov 19, 2025 to Feb 20, 2026
- Charity clients · 3 to 5Nov 19, 2025 to Feb 20, 2026
- HNW clients · 222 to 223Nov 19, 2025 to Feb 20, 2026
- Individual clients · 629 to 693Nov 19, 2025 to Feb 20, 2026
- Pension plan clients · 37 to 45Nov 19, 2025 to Feb 20, 2026
- Assets in custody · $96.6M to $149MNov 19, 2025 to Feb 20, 2026
- Employees · 7 to 6Nov 19, 2025 to Feb 20, 2026
- State-registered IARs · 7 to 6Nov 19, 2025 to Feb 20, 2026
- Discretionary RAUM · $784M to $957MNov 19, 2025 to Feb 20, 2026
- HNW RAUM · $494M to $546MNov 19, 2025 to Feb 20, 2026
- Individual RAUM · $176M to $209MNov 19, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $20.0M to $21.5MNov 19, 2025 to Feb 20, 2026
- Pension RAUM · $103M to $157MNov 19, 2025 to Feb 20, 2026
- RAUM · $804M to $979MNov 19, 2025 to Feb 20, 2026
- Advisory employees · 8 to 7Mar 4, 2025 to Jun 25, 2025
- Employees · 8 to 7Mar 4, 2025 to Jun 25, 2025
- Financial planning clients · More than 500 to More than 500Mar 4, 2025 to Jun 25, 2025
- State-registered IARs · 8 to 7Mar 4, 2025 to Jun 25, 2025
- Accounts · 821 to 907Nov 21, 2024 to Mar 4, 2025
- Charity clients · 0 to 3Nov 21, 2024 to Mar 4, 2025
- HNW clients · 216 to 222Nov 21, 2024 to Mar 4, 2025
- Individual clients · 559 to 629Nov 21, 2024 to Mar 4, 2025
- Pension plan clients · 28 to 37Nov 21, 2024 to Mar 4, 2025
- Assets in custody · $123M to $96.6MNov 21, 2024 to Mar 4, 2025
- Financial planning clients · 251-500 to More than 500Nov 21, 2024 to Mar 4, 2025
- Discretionary RAUM · $628M to $784MNov 21, 2024 to Mar 4, 2025
- HNW RAUM · $434M to $494MNov 21, 2024 to Mar 4, 2025
- Individual RAUM · $147M to $176MNov 21, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $19.0M to $20.0MNov 21, 2024 to Mar 4, 2025
- Pension RAUM · $50.3M to $103MNov 21, 2024 to Mar 4, 2025
- RAUM · $647M to $804MNov 21, 2024 to Mar 4, 2025
- Advisory employees · 7 to 8Feb 28, 2024 to May 16, 2024
- Employees · 7 to 8Feb 28, 2024 to May 16, 2024
- State-registered IARs · 7 to 8Feb 28, 2024 to May 16, 2024
- Accounts · 1,847 to 821Feb 6, 2023 to Feb 28, 2024
- Corporate clients · 8 to 16Feb 6, 2023 to Feb 28, 2024
Signals
2 dated events
- T•••• J•••• P•••••• left W••••• A••••••• A••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-01-24)Jun 25, 2025 · Advisor changed firm · fact
- A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 316-221-3950reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-567-1555reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 316.221.3950reportedpublic record, Form ADV, Jun 3, 2026
- Contact form
- wealthalliance.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $163Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026