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
C•••••• F••••••••
Legal name C•••••• • C•••••• F•••••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 12, 2018 · 19 filings
SEC status approved since Jul 12, 2018
RAUM
$632M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$632M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
29
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$632M as of Mar 31, 2026
Mar 25, 2019$146M then
HNW client RAUM$266M as of Mar 31, 2026
Mar 25, 2019$12.5M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 25, 20196 then
Employees (5.A)29 as of Mar 31, 2026
Mar 25, 201916 then
Private funds: no history
RAUM +16% over the last fiscal year+23% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $45.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $576,292derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 2.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$367M58%
- High-net-worth individuals$266M42%
- Individual clients
- 924reported
- HNW clients
- 173reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,097reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• A••••• O•••••• | Topeka, Ks | Jan 12, 2022 | 10 y | 1 |
| C••• R• C•••••• | Topeka, Ks | Jan 12, 2022 | 16 y | 2 |
| A••• L• C•••••• | Glen Allen, Va | Jan 12, 2022 | 13 y | 2 |
| D••••• E••••• M••••• | Topeka, Ks | Jan 13, 2022 | 11 y | 2 |
| J•••• D••••• W••••••• | Colorado Springs, Co | Mar 24, 2022 | 14 y | 2 |
| A•••••••• M•••••• B••••••• H••••••••• | Topeka, Ks | Oct 25, 2022 | 11 y | 0 |
| J••••••• P••• B••••• | Topeka, Ks | Oct 1, 2024 | 11 y | 0 |
| J••••• P•••• M•••••••• | Glen Allen, Va | Nov 5, 2024 | 10 y | 0 |
| M•••••• K•• W••••••Certified Financial Planner | Topeka, Ks | Mar 4, 2025 | 13 y | 3 |
| I•• M•••••• G•••••••• | Topeka, Ks | Mar 2, 2026 | 12 y | 0 |
| P••••• T••• D••• | Glen Allen, Va | Sep 3, 2026 | 11 y | 0 |
| R••••• M••• H•••••••• | Colorado Springs, Co | Sep 14, 2026 | 10 y | 0 |
| J••••• D••••• B•••• | Glen Allen, Va | Sep 15, 2026 | 11 y | 0 |
| D••••• M•••••• M••••••• | Glen Allen, Va | Sep 15, 2026 | 17 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 headcount4 left over 36 months
Left, latest
- R••• M•••••• R••••••• to C•••••• A••••••• S•••••••• L••Jul 24, 2024 · RIA to RIA
- A•••• S•••••• R•••••••• to O••••••••• • C•• I•••Jan 8, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• B••••••• J••••••• to O••••••••• • C•• I•••Jan 8, 2024 · RIA to affiliated broker-dealer or bank
- S•••• M••••• P•••••• to G•••••• W••••• S••••••••Jan 3, 2024 · RIA TO ST••• RIA
- S•••• M•••••• R••••••• to V••••• F••••••••Aug 30, 2023 · Other
- M•••••• D•••• G••••• to G••• F••••••••• L••Mar 22, 2023 · RIA TO ST••• RIA
- J•••• B•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 3, 2023 · RIA to affiliated broker-dealer or bank
- P••• E••••• S••••••••• to O•• A••••••• P•••••••• L••Jun 1, 2022 · RIA to RIA
- W•••••• A••• M•••• to I••••••Jan 20, 2022 · RIA to RIA
- T••• A•• A•••• to F••••••• P••••••• A•• W•••••••• A•••••••Apr 19, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••• S•••••• R•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••• M••••• P•••••• from U•• F•••••••• S••••••• I•••Sep 1, 2022 · Wirehouse to independent RIA
- J•••• B•••••• from A••••••••• F•••••••• S•••••••• L••Apr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- P••• E••••• S••••••••• from E•••••• F•••••••• E••••••Mar 28, 2022 · RIA to RIA
- J•••• D••••• W••••••• from C•••••• S••••• • C••• I•••Mar 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• A••• M•••• from C••••••••• A•••••••Sep 21, 2021 · RIA to RIA
- A••• L• C•••••• from G••••• F•••••••• P•••••• C••••••• I•••Dec 5, 2018 · RIA to RIA
- M•••••• K•• W•••••• from G••••• F•••••••• P•••••• C••••••• I•••Dec 4, 2018 · RIA to RIA
- C••• R• C•••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 18, 2018 · RIA to a newly registered adviser
- S•••• M•••••• R••••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 18, 2018 · RIA to a newly registered adviser
- D••••• E••••• M••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 17, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O••••••••• • C•• I•••Jan 8, 2024 · Virginia Beach, Va
- 4 joined from G••••• F•••••••• P•••••• C••••••• I•••Apr 26, 2019 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C•••• R• · Chief Executive Officercontrolsince 04/2018 · owns 75% or more
- M•••••• D•••••• E••••• · Chief Investment Officercontrolsince 04/2018 · owns less than 5%
- M•••••• T••••••• A•• · Chief Compliance Officersince 12/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Topeka, Ks · principal | 12 | 5 | 0 | ||
| Glen Allen, Va | 7 | 4 | 0 | ||
| Colorado Springs, Co | 2 | 0 | 0 | ||
| Overland Park, Ks | 0 | 0 | 0 | ||
| Virginia Beach, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Glen Allen, VA3 employees
- Overland Park, KS2 employees
- Colorado Springs, CO1 employees
- Virginia Beach, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 3,315.0 to 1,097.0 (-67.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.7% percentile
What changed
consecutive filings, newest first
- Accounts · 3,315 to 1,097Apr 30, 2025 to Mar 31, 2026
- Advisory employees · 14 to 10Apr 30, 2025 to Mar 31, 2026
- HNW clients · 161 to 173Apr 30, 2025 to Mar 31, 2026
- Individual clients · 899 to 924Apr 30, 2025 to Mar 31, 2026
- Employees · 27 to 29Apr 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $547M to $632MApr 30, 2025 to Mar 31, 2026
- HNW RAUM · $245M to $266MApr 30, 2025 to Mar 31, 2026
- Individual RAUM · $301M to $367MApr 30, 2025 to Mar 31, 2026
- RAUM · $547M to $632MApr 30, 2025 to Mar 31, 2026
- Accounts · 2,779 to 3,315Dec 4, 2024 to Apr 30, 2025
- Advisory employees · 15 to 14Dec 4, 2024 to Apr 30, 2025
- Corporate clients · 3 to 0Dec 4, 2024 to Apr 30, 2025
- HNW clients · 119 to 161Dec 4, 2024 to Apr 30, 2025
- Individual clients · 898 to 899Dec 4, 2024 to Apr 30, 2025
- Financial planning clients · More than 500 to More than 500Dec 4, 2024 to Apr 30, 2025
- Discretionary RAUM · $509M to $547MDec 4, 2024 to Apr 30, 2025
- HNW RAUM · $186M to $245MDec 4, 2024 to Apr 30, 2025
- Individual RAUM · $319M to $301MDec 4, 2024 to Apr 30, 2025
- RAUM · $509M to $547MDec 4, 2024 to Apr 30, 2025
- Accounts · 2,901 to 2,779Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 4 to 3Mar 31, 2023 to Mar 28, 2024
- HNW clients · 0 to 119Mar 31, 2023 to Mar 28, 2024
- Individual clients · 989 to 898Mar 31, 2023 to Mar 28, 2024
- Other offices · 5 to 4Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $342M to $509MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $0 to $186MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $340M to $319MMar 31, 2023 to Mar 28, 2024
- RAUM · $342M to $509MMar 31, 2023 to Mar 28, 2024
- Accounts · 2,541 to 2,901Mar 23, 2023 to Mar 31, 2023
- Advisory employees · 9 to 15Mar 23, 2023 to Mar 31, 2023
- Advisory activities · 5 to 2Mar 23, 2023 to Mar 31, 2023
- Corporate clients · 1 to 4Mar 23, 2023 to Mar 31, 2023
- HNW clients · 71 to 0Mar 23, 2023 to Mar 31, 2023
- Individual clients · 843 to 989Mar 23, 2023 to Mar 31, 2023
- Employees · 29 to 27Mar 23, 2023 to Mar 31, 2023
- State-registered IARs · 6 to 10Mar 23, 2023 to Mar 31, 2023
- Discretionary RAUM · $364M to $342MMar 23, 2023 to Mar 31, 2023
- HNW RAUM · $102M to $0Mar 23, 2023 to Mar 31, 2023
- Individual RAUM · $262M to $340MMar 23, 2023 to Mar 31, 2023
- RAUM · $364M to $342MMar 23, 2023 to Mar 31, 2023
Signals
15 dated events
- J••••• D••••• B•••• registered as an investment adviser representative at C•••••• F••••••••Sep 15, 2026 · Advisor registered · fact
- D••••• M•••••• M••••••• registered as an investment adviser representative at C•••••• F••••••••Sep 15, 2026 · Advisor registered · fact
- R••••• M••• H•••••••• registered as an investment adviser representative at C•••••• F••••••••Sep 14, 2026 · Advisor registered · fact
- R••• M•••••• R••••••• left C•••••• F•••••••• for C•••••• A••••••• S•••••••• L•• (registered 2024-07-31)Jul 24, 2024 · Advisor changed firm · fact
- C•••••• F•••••••• reported RAUM $508.6M, up 49% from $342.4M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- M•••••• B••••••• J••••••• left C•••••• F•••••••• for O••••••••• • C•• I••• (registered 2024-01-10)Jan 8, 2024 · Advisor changed firm · fact
- A•••• S•••••• R•••••••• left C•••••• F•••••••• for O••••••••• • C•• I••• (registered 2024-01-09)Jan 8, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••• F•••••••• (Virginia Beach, VA) for O••••••••• • C•• I••• on the same dayJan 8, 2024 · Team lift-out · derived
- S•••• M••••• P•••••• left C•••••• F•••••••• for G•••••• W••••• S•••••••• (registered 2024-01-04)Jan 3, 2024 · Advisor changed firm · fact
- S•••• M•••••• R••••••• left C•••••• F•••••••• for V••••• F•••••••• (registered 2022-11-09)Aug 30, 2023 · Advisor changed firm · fact
- M•••••• D•••• G••••• left C•••••• F•••••••• for G••• F••••••••• L•• (registered 2023-05-19)Mar 22, 2023 · Advisor changed firm · fact
- J•••• B•••••• left C•••••• F•••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-10)Jan 3, 2023 · Advisor changed firm · fact
- P••• E••••• S••••••••• left C•••••• F•••••••• for O•• A••••••• P•••••••• L•• (registered 2022-09-21)Jun 1, 2022 · Advisor changed firm · fact
- W•••••• A••• M•••• left C•••••• F•••••••• for Invisor (registered 2022-02-06)Jan 20, 2022 · Advisor changed firm · fact
- C•••••• F•••••••• filed its initial SEC registration (Form ADV)Jun 12, 2018 · 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
- 844-227-5766reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••OFFERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (844) 227-5766reportedpublic record, Form ADV, Mar 31, 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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026