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
O••••••• R••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Jun 5, 2019 · 14 filings
SEC status approved since Jul 8, 2019
RAUM
$640M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$640M as of Mar 30, 2026
Mar 24, 2020$466M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20200 then
Employees (5.A)19 as of Mar 30, 2026
Mar 24, 20205 then
Private funds1 as of Mar 22, 2022
Mar 24, 20201 then
RAUM +8.1% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $320MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- 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
- Pooled investment vehicles$640M100%
- 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, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••• A••••••• R••••• F•••• L•no longer reported | Hedge Fund | $644M | 3 | Jun 5, 2019 |
Owners and control persons
Schedule A and B, latest filing
- N••••••• D•••••• B••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 01/2023 · owns 5% to 10%
- N•••••• T••••• H•• · Chief Investment Officercontrolsince 03/2019 · owns less than 5%
- S•••••• U••••••• G••••••••• · Chief Technology Officercontrolsince 03/2019 · owns less than 5%
- N•••••• T••••• H•• · Managing Membercontrolsince 05/2019 · owns 75% or more of T•••• N••••• L••
- N•••••• T••••• H•• · Managing Membercontrolsince 11/2021 · owns 75% or more of L•• D•••• L••
- S•••••• U••••••• G••••••••• · Managing Membercontrolsince 01/2023 · owns 75% or more of S••••• L••
Entity owners
- L•• D•••• L•• · Limited Partnerdirect · owns 75% or more
- O••••••• R••••••• L•• · General Partnerdirect · owns less than 5%
- S••••• L•• · Limited Partnerdirect · owns 5% to 10%
- T•••• N••••• L•• · Managing Memberindirect · owns 75% or more of O••••••• R••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Wichita, KS1 employees
What changed
consecutive filings, newest first
- Advisory employees · 19 to 17Mar 20, 2025 to Mar 30, 2026
- Employees · 21 to 19Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $592M to $640MMar 20, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $592M to $640MMar 20, 2025 to Mar 30, 2026
- RAUM · $592M to $640MMar 20, 2025 to Mar 30, 2026
- Advisory employees · 16 to 19Mar 26, 2024 to Mar 20, 2025
- Employees · 18 to 21Mar 26, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $657M to $592MMar 26, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $657M to $592MMar 26, 2024 to Mar 20, 2025
- RAUM · $657M to $592MMar 26, 2024 to Mar 20, 2025
- Advisory employees · 15 to 16May 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $416M to $657MMay 1, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $416M to $657MMay 1, 2023 to Mar 26, 2024
- RAUM · $416M to $657MMay 1, 2023 to Mar 26, 2024
- Accounts · 1 to 2Feb 3, 2023 to Mar 28, 2023
- Advisory employees · 13 to 15Feb 3, 2023 to Mar 28, 2023
- Advisory activities · 2 to 1Feb 3, 2023 to Mar 28, 2023
- Pooled vehicle clients · 1 to 2Feb 3, 2023 to Mar 28, 2023
- Assets in custody · 643560248.0 to unsetFeb 3, 2023 to Mar 28, 2023
- Custody of client assets · true to falseFeb 3, 2023 to Mar 28, 2023
- Employees · 16 to 18Feb 3, 2023 to Mar 28, 2023
- Private funds · 1 to unsetFeb 3, 2023 to Mar 28, 2023
- Discretionary RAUM · $644M to $416MFeb 3, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $644M to $416MFeb 3, 2023 to Mar 28, 2023
- RAUM · $644M to $416MFeb 3, 2023 to Mar 28, 2023
- Business name · K•••••• A••••• L• to O••••••• R••••••• L•Jan 30, 2023 to Feb 3, 2023
- Legal name · K•••••• A••••• L• to O••••••• R••••••• L•Jan 30, 2023 to Feb 3, 2023
- Advisory employees · 14 to 13Mar 22, 2022 to Jan 30, 2023
- Advisory employees · 15 to 14Jan 31, 2022 to Mar 22, 2022
- Assets in custody · $447M to $644MJan 31, 2022 to Mar 22, 2022
- Employees · 17 to 16Jan 31, 2022 to Mar 22, 2022
- Discretionary RAUM · $447M to $644MJan 31, 2022 to Mar 22, 2022
- Pooled vehicle RAUM · $447M to $644MJan 31, 2022 to Mar 22, 2022
- RAUM · $447M to $644MJan 31, 2022 to Mar 22, 2022
- Advisory employees · 14 to 15Oct 25, 2021 to Jan 31, 2022
- Advisory activities · 1 to 2Oct 25, 2021 to Jan 31, 2022
- Assets in custody · unset to 447033980.0Oct 25, 2021 to Jan 31, 2022
- Custody of client assets · false to trueOct 25, 2021 to Jan 31, 2022
- Employees · 16 to 17Oct 25, 2021 to Jan 31, 2022
Signals
10 dated events
- O••••••• R••••••• L• reported RAUM $656.8M, up 58% from $416.4M (2023-05-01 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- O••••••• R••••••• L• reported RAUM $416.4M, down 35% from $643.6M (2023-02-03 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Thomas Mark Farrell (Chief Compliance Officer) no longer on Schedule A of O••••••• R••••••• L• (listed 2022-03-22, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- Keebeck Bruce Lee (Member) no longer on Schedule A of O••••••• R••••••• L• (listed 2022-03-22, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- Daniel Nesbitt (Chief Compliance Officer) appeared on Schedule A of O••••••• R••••••• L•Jan 30, 2023 · Control person joined · fact
- O••••••• R••••••• L• reported RAUM $643.6M, up 44% from $447.0M (2022-01-31 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Thomas Mark Farrell (Chief Compliance Officer) appeared on Schedule A of O••••••• R••••••• L•Jan 31, 2022 · Control person joined · fact
- O••••••• R••••••• L• reported RAUM $466.1M, up 133% from $200.0M (2019-11-04 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- G Utkarsh Samant (Coo) appeared on Schedule A of O••••••• R••••••• L•Nov 4, 2019 · Control person joined · fact
- K•••••• A••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 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
- Principal office phone
- 203-569-3517reportedpublic record, Form ADV, Mar 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026