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
C•••••• C••• F•••••••• S•••••••• I•••
Latest filing Mar 31, 2018
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$7.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
65%
$4.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$7.5M as of Mar 31, 2018
Mar 30, 2012$113M then
HNW client RAUM: $3.9M
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2018
Mar 28, 201312 then
Private funds: no history
RAUM -84% over the last fiscal year-45% a year over threeIARs 7 to 0
Practice profile
derived from the filing of Mar 31, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $647,870derivedHNW RAUM over HNW clients
- Average account
- $534,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -84%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.9M52%
- Charitable organizations$2.6M35%
- Individuals$965,43213%
- Individual clients
- 5reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Left, latest
- T•••• S•••••• to W•••••• • R•••Dec 15, 2017 · Other
- N••••• C• B•••••• to M•••• C••••••• A••••••• S••••••Dec 7, 2017 · Other
- B•••• C••••••••• T••••••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- D••••• J••••• C••••••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- C•••• J• R••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- K•••• P••• H••••••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- D••• B•••• B•••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- K•••• J••••• C••••••• to M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Other
- J••• M••••• Y• to R••••• W• B•••• • C•• I•••••••••Dec 26, 2014 · Other
- C•••• B••• M••••••• to T•••• W••••• M•••••••Jan 2, 2014 · Other
- N•••••••• T•••••• S••••• to K•••••••• C•••••• M••••••••• I•••Feb 29, 2012 · Other
- A•••••• M• G••••• to U•• F•••••••• S•••••••• I•••Jan 5, 2011 · Other
- D•••• S•••• S••••• to V• W••••• A••••••• L••Jul 27, 2010 · Other
- P•••• G••••• M•••••• to U•• F•••••••• S•••••••• I•••Apr 14, 2009 · Other
- D•••• L••• T••••• to A••••••• C•••••• A••••••• S•••••••• I•••Apr 30, 2004 · Other
Joined, latest
- C•••• J• R••• from U•• F•••••••• S•••••••• I•••Jan 13, 2017 · Other
- N••••• C• B•••••• from U•• F•••••••• S•••••••• I•••Oct 5, 2016 · Other
- T•••• S•••••• from T• A••••••••• I••••••••• M••••••••• L••Apr 14, 2016 · Other
- C•••• B••• M••••••• from B•••••••• F••• A•••••••Nov 18, 2011 · Other
- D•••• S•••• S••••• from M••••• S••••••Jul 20, 2009 · Other
- A•••••• M• G••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2005 · Other
- D••••• J••••• C••••••• from W•••••• • R•••May 24, 2004 · Other
- D•••• L••• T••••• from S••••••• W••••• A•••••••• I•••Aug 26, 2003 · Other
- K•••• J••••• C••••••• from W• G••••••• S••••••••• I•••Sep 20, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for M•••• C••••••• A••••••• S••••••Dec 1, 2017 · Prairie Village, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• M•••• S• · Directorcontrolsince 07/2011 · owns less than 5%
- D••••••••• S••••• L•••• · President, Cco, Financial Operations Principal, Directorcontrolsince 12/2014 · owns less than 5%
- H•••••• A•••• C••••• · Directorcontrolsince 10/2001 · owns less than 5%
- H••••• J••• I•••• J• · Directorcontrolsince 04/2016 · owns less than 5%
- K•••••• J•• E• · Directorcontrolsince 04/2005 · owns less than 5%
- M••••••••• F•••• C•••••• J• · Director, Chairmancontrolsince 10/2015 · owns less than 5%
- T•••••••• B•••• C••••••••• S• · Directorcontrolsince 04/2017 · owns less than 5%
- T•••••••• M••• C•••••• · Directorcontrolsince 04/2010 · owns less than 5%
- T•••••••• T•••••• · Directorcontrolsince 04/2007 · owns less than 5%
- W•••• R••••• P••• · Directorcontrolsince 04/2017 · owns less than 5%
Entity owners
- C•••••• C••• B••• · Parent Of Applicantdirect · owns 75% or more
- C•• C••••••••• · Ownerindirect · owns 75% or more of C•••••• C••• B•••
Related persons
Schedule D 7.A
- C•••••• C••• B•••broker-dealery
- C•••••• C••• T•••• C••••••pooled vehicle sponsorcustodiann
- T•••• W••••• M•••••••investment adviserpooled vehicle sponsornRAUM $1.9B
Advisers that list C•••••• C••• F•••••••• S•••••••• I••• as a related person
- 144791 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 139 to 14Mar 31, 2017 to Mar 31, 2018
- Advisory employees · 5 to 0Mar 31, 2017 to Mar 31, 2018
- BD registered reps · 9 to 1Mar 31, 2017 to Mar 31, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- HNW clients · unset to 6.0Mar 31, 2017 to Mar 31, 2018
- Individual clients · unset to 5.0Mar 31, 2017 to Mar 31, 2018
- Pension plan clients · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Employees · 9 to 1Mar 31, 2017 to Mar 31, 2018
- State-registered IARs · 7 to 0Mar 31, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- HNW RAUM · unset to 3887219.0Mar 31, 2017 to Mar 31, 2018
- Individual RAUM · unset to 965432.0Mar 31, 2017 to Mar 31, 2018
- Non-discretionary RAUM · $46.4M to $7.5MMar 31, 2017 to Mar 31, 2018
- Pension RAUM · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- RAUM · $46.4M to $7.5MMar 31, 2017 to Mar 31, 2018
- Accounts · 134 to 139Jul 12, 2016 to Mar 31, 2017
- Advisory employees · 4 to 5Jul 12, 2016 to Mar 31, 2017
- State-registered IARs · 6 to 7Jul 12, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $41.2M to $46.4MJul 12, 2016 to Mar 31, 2017
- RAUM · $41.2M to $46.4MJul 12, 2016 to Mar 31, 2017
- Accounts · 130 to 134Mar 27, 2015 to Mar 30, 2016
- Financial planning clients · 1-10 to 0Mar 27, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $43.9M to $41.2MMar 27, 2015 to Mar 30, 2016
- RAUM · $43.9M to $41.2MMar 27, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $131M to $43.9MJan 2, 2015 to Mar 27, 2015
- RAUM · $131M to $43.9MJan 2, 2015 to Mar 27, 2015
- Accounts · 140 to 130Jan 2, 2015 to Mar 27, 2015
- Advisory employees · 5 to 4Jan 2, 2015 to Mar 27, 2015
- State-registered IARs · 7 to 6Jan 2, 2015 to Mar 27, 2015
- Accounts · 111 to 140Dec 16, 2013 to Mar 28, 2014
- BD registered reps · 11 to 9Dec 16, 2013 to Mar 28, 2014
- Employees · 12 to 9Dec 16, 2013 to Mar 28, 2014
- Financial planning clients · 0 to 1-10Dec 16, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $114M to $131MDec 16, 2013 to Mar 28, 2014
- RAUM · $114M to $131MDec 16, 2013 to Mar 28, 2014
- HQ city · MISSION WOODS to KANSAS CITYMay 31, 2013 to Dec 16, 2013
- HQ state · KS to MOMay 31, 2013 to Dec 16, 2013
- Accounts · 85 to 111Mar 30, 2012 to Mar 28, 2013
Signals
No event on the tape.
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