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••••••••

Independent wealth managerColumbia, MissouriCRD 304146SEC 801-116738websiteIAPD
Legal name C••••••••• F••••••••• L••
Latest filing Sep 4, 2026
First filing on the tape May 4, 2019 · 47 filings
SEC status approved since Jun 3, 2019
RAUM
$904M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$877M individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$33.5M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$904M as of Aug 25, 2026
Mar 26, 2020$132M then
HNW client RAUM$583M as of Aug 25, 2026
Mar 26, 2020$26.0M then
State-registered IARs (5.B.3)9 as of Aug 25, 2026
Mar 26, 20205 then
Employees (5.A)18 as of Aug 25, 2026
Mar 26, 20209 then
Private funds: no history
RAUM +29% over the last fiscal year+45% a year over threeIARs 9 to 9offices 10 to 15
Practice profile
derived from the filing of Sep 4, 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
RAUM per advisor
$32.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
95derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$900,587derivedHNW RAUM over HNW clients
Average account
$191,313derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.6derivedItem 5.A over advisors
Advisors per office
1.8derived16 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$1.1MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$583M64%
  • Individuals$295M33%
  • Corporations and businesses$17.6M2.0%
  • Charitable organizations$6.3M0.7%
  • Pension and profit-sharing plans$2.7M0.3%
Individual clients
2,018reported
HNW clients
647reported
Pension plan clients
9reported
Charitable clients
18reported
Accounts
4,725reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• E••• C•••Certified Financial PlannerColumbia, MoJun 5, 201919 y2
R••••• J••••• B••••Eagan, Mn Jun 20, 201920 y1
J••• W• B••••••Columbia, Mo Sep 27, 201926 y1
T•••• S•••••• H•••••••Columbia, MoFeb 3, 202116 y3
J••••• D•••• E••••Kansas City, Mo May 12, 202312 y1
A••••• L••••••• R••••Prairie Village, Ks Mar 28, 202424 y1
P••••• H••••• M•••••••Certified Financial PlannerBranson, Mo Apr 18, 202420 y2
M••• E••••• N•••••••Columbia, Mo Jun 5, 202411 y1
W•••••• H•••• M• C•••Overland Park, KsJun 24, 202425 y2
A••••• G•••• H•••••••Columbia, MoJul 5, 202411 y1
S••••• A•• W••••••Columbia, Mo Aug 9, 202414 y2
M•••••• F•••••• R•••••••Overland Park, KsAug 21, 202413 y4
P•••••• D•••• B••••Columbia, Mo Sep 12, 202412 y2
J••••• G••••• W•••Columbia, MoNov 26, 202425 y2
D••••• E••••• H•••••Fairmont, MnNov 27, 202425 y1
M••• P••• B•••••Columbia, MoMar 11, 202521 y0
J••••• L••••• B•••Branson, Mo Mar 21, 202518 y1
B••••• R••••Columbia, Mo Jun 11, 202511 y0
V••••• S••••••Overland Park, Ks Jun 25, 202511 y0
B•••• K•••• A••••••Columbia, Mo Oct 14, 202522 y3
J•••• H••••••• L••••Annapolis, Md Mar 5, 202611 y2
G•••• W•••••Ozark, MoMar 24, 202611 y0
G••• L•••••Columbia, Mo Jun 22, 202640 y2
J••••• R•• B••••••Wichita, Ks Jun 28, 202614 y1
A••• B•••• P•••••Columbia, MoJul 1, 202614 y4
C••••••••• S•••• D•••••Columbia, Mo Sep 4, 202618 y3
H••••• R•••Columbia, Mo Sep 4, 202613 y1
E•••••• W•••••• D•••••Overland Park, KsSep 14, 202610 y0
Advisor movement
6 left, 7 joined in 12 months
net +1 in 12 months1 left in 90 days5 joined in 90 daysdeparture rate 22% of current headcount10 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••• T•••••• E••• · Ceo And Membercontrol
    since 04/2019 · owns 75% or more
  • H•••••••• T••••• S•••••• · Presidentcontrol
    since 01/2023 · owns less than 5%
  • W•••••••• C•••••••• A••• · Chief Compliance Officer
    since 09/2024 · owns less than 5%
  • D••••••• C••••• F•••••• · Member
    since 04/2019 · owns 50% to 75% of G•••• L••
Entity owners
  • G•••• L•• · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • C••••••••• A•••••••••
    insurancey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Columbia, Mo · principal23741
Overland Park, Ks500
Branson, Mo200
Fayette, Mo002
Offices
Schedule D 1.F, the 25 largest
  • Apple Valley, MN5 employees
  • Fayette, MO3 employees
  • Branson, MO1 employees
  • Fairmont, MN1 employees
  • Boonville, MO1 employees
  • Independence, MO1 employees
  • New Madrid, MO1 employees
  • Overland Park, KS1 employees
  • Salisbury, MO1 employees
What changed
consecutive filings, newest first
  • Financial planning clients · 1-10 to 1-10
    Aug 25, 2026 to Sep 4, 2026
  • Succession · false to unset
    Aug 25, 2026 to Sep 4, 2026
  • Other offices · 14 to 15
    Jun 22, 2026 to Aug 25, 2026
  • Other offices · 13 to 14
    Apr 29, 2026 to Jun 22, 2026
  • Accounts · 3,609 to 4,725
    Jan 13, 2026 to Mar 31, 2026
  • Charity clients · 15 to 18
    Jan 13, 2026 to Mar 31, 2026
  • Corporate clients · 15 to 22
    Jan 13, 2026 to Mar 31, 2026
  • HNW clients · 518 to 647
    Jan 13, 2026 to Mar 31, 2026
  • Individual clients · 1,668 to 2,018
    Jan 13, 2026 to Mar 31, 2026
  • Pension plan clients · 6 to 9
    Jan 13, 2026 to Mar 31, 2026
  • Discretionary RAUM · $703M to $903M
    Jan 13, 2026 to Mar 31, 2026
  • HNW RAUM · $446M to $583M
    Jan 13, 2026 to Mar 31, 2026
  • Individual RAUM · $238M to $295M
    Jan 13, 2026 to Mar 31, 2026
  • Non-discretionary RAUM · $940,800 to $1.1M
    Jan 13, 2026 to Mar 31, 2026
  • Pension RAUM · $1.7M to $2.7M
    Jan 13, 2026 to Mar 31, 2026
  • RAUM · $703M to $904M
    Jan 13, 2026 to Mar 31, 2026
  • Other offices · 12 to 13
    Oct 16, 2025 to Jan 13, 2026
  • Other offices · 11 to 12
    Aug 26, 2025 to Oct 16, 2025
  • Financial planning clients · 1-10 to 1-10
    Mar 28, 2025 to May 8, 2025
  • Other offices · 10 to 11
    Mar 28, 2025 to May 8, 2025
  • Accounts · 2,651 to 3,609
    Dec 23, 2024 to Mar 28, 2025
  • Charity clients · 13 to 15
    Dec 23, 2024 to Mar 28, 2025
  • Corporate clients · 7 to 15
    Dec 23, 2024 to Mar 28, 2025
  • HNW clients · 319 to 518
    Dec 23, 2024 to Mar 28, 2025
  • Individual clients · 1,930 to 1,668
    Dec 23, 2024 to Mar 28, 2025
  • Pension plan clients · 0 to 6
    Dec 23, 2024 to Mar 28, 2025
  • Discretionary RAUM · $338M to $703M
    Dec 23, 2024 to Mar 28, 2025
  • HNW RAUM · $201M to $446M
    Dec 23, 2024 to Mar 28, 2025
  • Individual RAUM · $215M to $238M
    Dec 23, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · $84.5M to $940,800
    Dec 23, 2024 to Mar 28, 2025
  • Pension RAUM · $951,232 to $1.7M
    Dec 23, 2024 to Mar 28, 2025
  • RAUM · $422M to $703M
    Dec 23, 2024 to Mar 28, 2025
  • Wrap assets (manager) · $338M to $0
    Dec 23, 2024 to Mar 28, 2025
  • Other offices · 9 to 10
    Nov 25, 2024 to Dec 4, 2024
  • Other offices · 8 to 9
    Oct 16, 2024 to Nov 13, 2024
  • Other offices · 6 to 8
    Aug 9, 2024 to Oct 4, 2024
  • Other offices · 5 to 6
    Apr 1, 2024 to Jul 3, 2024
  • Accounts · 2,718 to 2,651
    Jan 18, 2024 to Apr 1, 2024
  • Advisory employees · 20 to 13
    Jan 18, 2024 to Apr 1, 2024
  • Corporate clients · unset to 7.0
    Jan 18, 2024 to Apr 1, 2024
Signals
28 dated events
  • C••••••••• S•••• D••••• added a MO registration at C••••••••• F••••••••
    Sep 15, 2026 · New state registration · fact
  • E•••••• W•••••• D••••• registered as an investment adviser representative at C••••••••• F••••••••
    Sep 14, 2026 · Advisor registered · fact
  • C••••••••• S•••• D••••• added a TX registration at C••••••••• F••••••••
    Sep 4, 2026 · New state registration · fact
  • 2 advisors left G••• L••• A•••••••• L•• (Celebration, FL) for C••••••••• F•••••••• within 6 days
    Aug 28, 2026 · Team lift-out · derived
  • B•••• R• H••••••••• left C••••••••• F•••••••• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2026-09-03)
    Aug 6, 2026 · Advisor changed firm · fact
  • C•••••• A••••• B••• left C••••••••• F•••••••• for C••••••••• T•••• F•••••••• S••••••• (registered 2026-03-16)
    May 6, 2026 · Advisor changed firm · fact
  • J•••••• T••• K••••• left C••••••••• F•••••••• for C••••••••• T•••• F•••••••• S••••••• (registered 2026-03-23)
    May 6, 2026 · Advisor changed firm · fact
  • C••• B••••••• H•••••••• left C••••••••• F•••••••• for C••••••••• T•••• F•••••••• S••••••• (registered 2026-03-23)
    May 6, 2026 · Advisor changed firm · fact
  • A••••• F•••••• left C••••••••• F•••••••• for C••••••••• T•••• F•••••••• S••••••• (registered 2026-03-23)
    May 6, 2026 · Advisor changed firm · fact
  • K••• J••••• E•••••• left C••••••••• F•••••••• for C••••••••• T•••• F•••••••• S••••••• (registered 2026-03-16)
    May 6, 2026 · Advisor changed firm · fact
  • 5 advisors left C••••••••• F•••••••• (Columbia, MO) for C••••••••• T•••• F•••••••• S••••••• on the same day
    May 6, 2026 · Team lift-out · derived
  • C••••••••• F•••••••• reported RAUM $904.0M, up 29% from $703.4M (2026-01-13 to 2026-03-31)
    Mar 31, 2026 · RAUM change · derived
  • C••••••••• F•••••••• reported RAUM $703.4M, up 67% from $422.4M (2024-12-23 to 2025-03-28)
    Mar 28, 2025 · RAUM change · derived
  • C••••••••• F•••••••• reported RAUM $422.4M, up 42% from $298.1M (2024-01-18 to 2024-04-01)
    Apr 1, 2024 · RAUM change · derived
  • A•••• N••••• E•••• left C••••••••• F•••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-01-25)
    Jan 25, 2024 · Advisor changed firm · fact
  • J•••• W•••••• W•••••• left C••••••••• F•••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-01-26)
    Jan 25, 2024 · Advisor changed firm · fact
  • A••• B••••• left C••••••••• F•••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-01-25)
    Jan 25, 2024 · Advisor changed firm · fact
  • 3 advisors left C••••••••• F•••••••• (Columbia, MO) for C•••••••• I••••••••• R••••••• A•••••••• I••• on the same day
    Jan 25, 2024 · Team lift-out · derived
  • Marie Kelsey Lyman (Chief Compliance Officer) no longer on Schedule A of C••••••••• F•••••••• (listed 2023-12-21, absent 2024-01-18)
    Jan 18, 2024 · Control person left · inference
  • J•••• T••••• B••••• left C••••••••• F•••••••• for U•• F•••••••• S•••••••• I••• (registered 2024-01-23)
    Jan 17, 2024 · Advisor changed firm · fact
  • B•••• W•••••• C••••••• (Member) no longer on Schedule A of C••••••••• F•••••••• (listed 2023-06-12, absent 2023-07-24)
    Jul 24, 2023 · Control person left · inference
  • L•••• C•••• left C••••••••• F•••••••• for M••••••••• A••••••• (registered 2023-04-18)
    Mar 31, 2023 · Advisor changed firm · fact
  • Stephen Tyler Hoffmann (President) appeared on Schedule A of C••••••••• F••••••••
    Feb 15, 2023 · Control person joined · fact
  • June Denise Brochu (Chief Compliance Officer) no longer on Schedule A of C••••••••• F•••••••• (listed 2022-11-04, absent 2022-12-04)
    Dec 4, 2022 · Control person left · inference
  • Marie Kelsey Lyman (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••••••
    Dec 4, 2022 · Control person joined · fact
  • June Denise Brochu (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••••••
    Mar 26, 2021 · Control person joined · fact
  • Richard Gromis (Chief Compliance Officer) no longer on Schedule A of C••••••••• F•••••••• (listed 2021-03-12, absent 2021-03-26)
    Mar 26, 2021 · Control person left · inference
  • C••••••••• F•••••••• filed its initial SEC registration (Form ADV)
    May 4, 2019 · 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
Firm profile
linkedin.com/company/79690846reportedpublic record, Form ADV, Sep 18, 2026
Firm profile
linkedin.com/company/101358125reportedpublic record, Form ADV, Sep 18, 2026
Website
convergencefinancial-kc.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(573) 818-2264reportedpublic record, Form ADV, Sep 4, 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
$33.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026