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
M•••••• W••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 20, 2019 · 13 filings
SEC status approved since Jul 22, 2019
RAUM
$579M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$555M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$579M as of Mar 26, 2026
Mar 30, 2020$299M then
HNW client RAUM$417M as of Mar 26, 2026
Mar 30, 2020$230M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 30, 20203 then
Employees (5.A)5 as of Mar 26, 2026
Mar 30, 20203 then
Private funds: no history
RAUM +8.5% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 151derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $410,075derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$417M72%
- Individuals$138M24%
- Corporations and businesses$24.1M4.2%
- Charitable organizations$120,5090.0%
- Individual clients
- 478reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,412reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J••••• C••••Certified Financial Planner | Lawrence, Ks | Oct 14, 2019 | 15 y | 2 |
| M••••• D•••• M•••••• | Lawrence, Ks | Oct 14, 2019 | 10 y | 1 |
| D•••• W•••• M•••••• | Lawrence, Ks | Oct 14, 2019 | 27 y | 2 |
| C•••• D•••••• R•••• | Lawrence, Ks | Aug 5, 2026 | 18 y | 0 |
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••• J••••• C•••• from W•••• F•••• A•••••••Oct 14, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• D•••• M•••••• from W•••• F•••• A•••••••Oct 14, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• W•••• M•••••• from W•••• F•••• A•••••••Oct 14, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Oct 15, 2019 · Lawrence, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• K•••• J••••• · Chief Compliance Officercontrolsince 01/2020 · owns 5% to 10%
- M••••••• D••••• W•••• · Principalcontrolsince 06/2019 · 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 |
|---|---|---|---|---|---|
| Lawrence, Ks · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,390 to 1,412Jun 26, 2025 to Mar 26, 2026
- Corporate clients · unset to 8.0Jun 26, 2025 to Mar 26, 2026
- HNW clients · 116 to 127Jun 26, 2025 to Mar 26, 2026
- Individual clients · 479 to 478Jun 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $534M to $579MJun 26, 2025 to Mar 26, 2026
- HNW RAUM · $358M to $417MJun 26, 2025 to Mar 26, 2026
- Individual RAUM · $175M to $138MJun 26, 2025 to Mar 26, 2026
- RAUM · $534M to $579MJun 26, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Jun 26, 2025
- Accounts · 1,393 to 1,390Nov 7, 2024 to Feb 25, 2025
- HNW clients · 120 to 116Nov 7, 2024 to Feb 25, 2025
- Individual clients · 477 to 479Nov 7, 2024 to Feb 25, 2025
- Discretionary RAUM · $474M to $534MNov 7, 2024 to Feb 25, 2025
- HNW RAUM · $342M to $358MNov 7, 2024 to Feb 25, 2025
- Individual RAUM · $139M to $175MNov 7, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $7.3M to $0Nov 7, 2024 to Feb 25, 2025
- RAUM · $482M to $534MNov 7, 2024 to Feb 25, 2025
- Accounts · 1,310 to 1,393Jun 16, 2023 to Mar 18, 2024
- Charity clients · 3.0 to unsetJun 16, 2023 to Mar 18, 2024
- HNW clients · 119 to 120Jun 16, 2023 to Mar 18, 2024
- Individual clients · 435 to 477Jun 16, 2023 to Mar 18, 2024
- Discretionary RAUM · $413M to $474MJun 16, 2023 to Mar 18, 2024
- HNW RAUM · $312M to $342MJun 16, 2023 to Mar 18, 2024
- Individual RAUM · $108M to $139MJun 16, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $7.5M to $7.3MJun 16, 2023 to Mar 18, 2024
- RAUM · $420M to $482MJun 16, 2023 to Mar 18, 2024
- Accounts · 1,210 to 1,310Mar 28, 2022 to Mar 23, 2023
- Charity clients · 2 to 3Mar 28, 2022 to Mar 23, 2023
- HNW clients · 121 to 119Mar 28, 2022 to Mar 23, 2023
- Individual clients · 393 to 435Mar 28, 2022 to Mar 23, 2023
- Employees · 4 to 5Mar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $452M to $413MMar 28, 2022 to Mar 23, 2023
- HNW RAUM · $353M to $312MMar 28, 2022 to Mar 23, 2023
- Individual RAUM · $111M to $108MMar 28, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $11.0M to $7.5MMar 28, 2022 to Mar 23, 2023
- RAUM · $463M to $420MMar 28, 2022 to Mar 23, 2023
- Accounts · 1,183 to 1,210Mar 18, 2021 to Mar 28, 2022
- Charity clients · unset to 2.0Mar 18, 2021 to Mar 28, 2022
- HNW clients · 96 to 121Mar 18, 2021 to Mar 28, 2022
- Individual clients · 374 to 393Mar 18, 2021 to Mar 28, 2022
Signals
3 dated events
- M•••••• W••••• M••••••••• L•• reported RAUM $463.3M, up 38% from $335.6M (2021-03-18 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Jordan Kyle Cross (Chief Compliance Officer) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- M•••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 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
- Business email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 785-842-7680reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 785-842-7680reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026