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•• N•• O••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Apr 11, 2019 · 12 filings
SEC status approved since May 13, 2019
RAUM
$1.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$324,243
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.3M as of Mar 23, 2026
Mar 31, 2021$99,971 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 13, 20202 then
Employees (5.A)4 as of Mar 23, 2026
Mar 13, 20203 then
Private funds2 as of Mar 23, 2026
Mar 31, 20212 then
RAUM +2.2% over the last fiscal year+1.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $324,243derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $648,485derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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
- Other investment advisers$1.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• I••••• F•••• L•• | Other Private Fund | $1.1M | 0 | Mar 31, 2021 |
| E•••••• O• I••••• F•••• L•• | Other Private Fund | $200,335 | 1 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- W•••••• S•••••• L••• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- W••••• J•••• T••••• · Presidentcontrolsince 03/2019 · owns less than 5%
- W••••• J•••• T••••• · Managing Membercontrolsince 01/2013 · owns 25% to 50% of C••••••• C•••••• M••••••••• L••
Entity owners
- C••••••• C•••••• M••••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••• C•••••• M••••••••• L••investment adviseryRAUM $2.1B
Advisers that list C•• N•• O••••••••• L•• as a related person
- 112773 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Merriam, Ks · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.3M to $1.3MMar 17, 2025 to Mar 23, 2026
- RAUM · $1.3M to $1.3MMar 17, 2025 to Mar 23, 2026
- Advisory employees · 3 to 4Mar 25, 2024 to Mar 17, 2025
- Employees · 3 to 4Mar 25, 2024 to Mar 17, 2025
- Insurance-licensed employees · 3 to 4Mar 25, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 17, 2025
- State-registered IARs · 3 to 4Mar 25, 2024 to Mar 17, 2025
- Discretionary RAUM · $1.3M to $1.3MMar 25, 2024 to Mar 17, 2025
- RAUM · $1.3M to $1.3MMar 25, 2024 to Mar 17, 2025
- Discretionary RAUM · $1.2M to $1.3MSep 8, 2023 to Mar 25, 2024
- RAUM · $1.2M to $1.3MSep 8, 2023 to Mar 25, 2024
- Pooled vehicle clients · 1.0 to unsetMay 15, 2023 to Sep 8, 2023
- Pooled vehicle RAUM · 1237641.0 to unsetMay 15, 2023 to Sep 8, 2023
- Discretionary RAUM · $1.2M to $1.2MMar 25, 2022 to Mar 13, 2023
- Pooled vehicle RAUM · $1.2M to $1.2MMar 25, 2022 to Mar 13, 2023
- RAUM · $1.2M to $1.2MMar 25, 2022 to Mar 13, 2023
- Accounts · 1 to 2Mar 31, 2021 to Mar 25, 2022
- Discretionary RAUM · $99,971 to $1.2MMar 31, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $99,971 to $1.2MMar 31, 2021 to Mar 25, 2022
- RAUM · $99,971 to $1.2MMar 31, 2021 to Mar 25, 2022
- Accounts · unset to 1.0Mar 13, 2020 to Mar 31, 2021
- Advisory employees · 2 to 3Mar 13, 2020 to Mar 31, 2021
- Pooled vehicle clients · unset to 1.0Mar 13, 2020 to Mar 31, 2021
- Insurance-licensed employees · 2 to 3Mar 13, 2020 to Mar 31, 2021
- State-registered IARs · 2 to 3Mar 13, 2020 to Mar 31, 2021
- Private funds · unset to 2Mar 13, 2020 to Mar 31, 2021
- Discretionary RAUM · unset to 99971.0Mar 13, 2020 to Mar 31, 2021
- Non-discretionary RAUM · unset to 0.0Mar 13, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · unset to 99971.0Mar 13, 2020 to Mar 31, 2021
- RAUM · unset to 99971.0Mar 13, 2020 to Mar 31, 2021
- HQ city · OVERLAND PARK to MERRIAMMay 14, 2019 to Mar 13, 2020
Signals
1 dated events
- C•• N•• O••••••••• L•• filed its initial SEC registration (Form ADV)Apr 11, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• N•• O••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 913-248-8500reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $324,243derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026