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
P•••••••• C•••••• M••••••••• I•••
Latest filing Jan 22, 2026
First filing on the tape May 10, 2023 · 6 filings
SEC status approved since Jun 9, 2023
RAUM
$171M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
81%
$138M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$171M as of Jan 22, 2026
Jan 22, 2024$144M then
HNW client RAUM$83.0M as of Jan 22, 2026
Jan 22, 2024$64.6M then
State-registered IARs (5.B.3)2 as of Jan 22, 2026
Jan 22, 20243 then
Employees (5.A)3 as of Jan 22, 2026
Jan 22, 20244 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 22, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $85.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $279,773derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.0M49%
- Individuals$55.5M33%
- Pension and profit-sharing plans$25.2M15%
- Charitable organizations$6.7M3.9%
- Corporations and businesses$244,1020.1%
- Individual clients
- 220reported
- HNW clients
- 41reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 610reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• M•••• M•••••••• | Topeka, Ks | Aug 2, 2018 | 15 y | 2 |
| K•••• N••••• T•••••Certified Financial Planner | Topeka, Ks | Jan 10, 2021 | 47 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••• N••••• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••• M•••• M•••••••• from L••••• F•••••••• S••••••••• L••Aug 2, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• C•••• M•••• · President, Ceo & Chief Compliance Officercontrolsince 09/2022 · owns 75% or more
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 601 to 610Jan 24, 2025 to Jan 22, 2026
- Corporate clients · 2 to 1Jan 24, 2025 to Jan 22, 2026
- HNW clients · 34 to 41Jan 24, 2025 to Jan 22, 2026
- Individual clients · 215 to 220Jan 24, 2025 to Jan 22, 2026
- Discretionary RAUM · $130M to $145MJan 24, 2025 to Jan 22, 2026
- HNW RAUM · $69.3M to $83.0MJan 24, 2025 to Jan 22, 2026
- Individual RAUM · $54.3M to $55.5MJan 24, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $22.0M to $25.2MJan 24, 2025 to Jan 22, 2026
- Pension RAUM · $22.0M to $25.2MJan 24, 2025 to Jan 22, 2026
- RAUM · $152M to $171MJan 24, 2025 to Jan 22, 2026
- Accounts · 616 to 601Sep 18, 2024 to Jan 24, 2025
- Advisory employees · 3 to 2Sep 18, 2024 to Jan 24, 2025
- HNW clients · 33 to 34Sep 18, 2024 to Jan 24, 2025
- Individual clients · 225 to 215Sep 18, 2024 to Jan 24, 2025
- Pension plan clients · 6 to 5Sep 18, 2024 to Jan 24, 2025
- Employees · 4 to 3Sep 18, 2024 to Jan 24, 2025
- Financial planning clients · 26-50 to 26-50Sep 18, 2024 to Jan 24, 2025
- State-registered IARs · 3 to 2Sep 18, 2024 to Jan 24, 2025
- Discretionary RAUM · $123M to $130MSep 18, 2024 to Jan 24, 2025
- HNW RAUM · $64.6M to $69.3MSep 18, 2024 to Jan 24, 2025
- Individual RAUM · $52.9M to $54.3MSep 18, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $20.3M to $22.0MSep 18, 2024 to Jan 24, 2025
- Pension RAUM · $20.3M to $22.0MSep 18, 2024 to Jan 24, 2025
- RAUM · $144M to $152MSep 18, 2024 to Jan 24, 2025
- Advisory activities · 5 to 4Jan 22, 2024 to Sep 18, 2024
- Accounts · 923 to 616Jun 21, 2023 to Jan 22, 2024
- Charity clients · 8 to 5Jun 21, 2023 to Jan 22, 2024
- HNW clients · 31 to 33Jun 21, 2023 to Jan 22, 2024
- Individual clients · 196 to 225Jun 21, 2023 to Jan 22, 2024
- Discretionary RAUM · $107M to $123MJun 21, 2023 to Jan 22, 2024
- HNW RAUM · $55.7M to $64.6MJun 21, 2023 to Jan 22, 2024
- Individual RAUM · $45.9M to $52.9MJun 21, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $17.3M to $20.3MJun 21, 2023 to Jan 22, 2024
- Pension RAUM · $17.3M to $20.3MJun 21, 2023 to Jan 22, 2024
- RAUM · $124M to $144MJun 21, 2023 to Jan 22, 2024
Signals
1 dated events
- P•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 10, 2023 · 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
- 785-215-8080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 701-383-8615reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 785-430-5301reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/33257266reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.p••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 785-215-8080reportedpublic record, Form ADV, Jan 22, 2026
- Team page
- p••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $85.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026