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
W•••• S••• W••••• M•••••••••
Legal name W•••• S••• W••••• M••••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Mar 27, 2024 · 4 filings
SEC status approved since Apr 26, 2024
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$165M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.1M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$172M as of Feb 11, 2026
Feb 10, 2025$139M then
HNW client RAUM$128M as of Feb 11, 2026
Feb 10, 2025$103M then
State-registered IARs (5.B.3)4 as of Feb 11, 2026
Feb 10, 20253 then
Employees (5.A)7 as of Feb 11, 2026
Feb 10, 20257 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Feb 11, 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
- $34.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $875,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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
- 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$128M74%
- Individuals$37.1M22%
- Pension and profit-sharing plans$4.3M2.5%
- State and municipal entities$2.7M1.6%
- Charitable organizations$298,2340.2%
- Individual clients
- 133reported
- HNW clients
- 55reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 197reported
- Financial planning clients
- 51-100reported
- 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=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K•••• H•••Certified Financial Planner | Liberty, Mo | Jul 9, 2019 | 15 y | 2 |
| K•••• K••••• B••••• | Liberty, Mo | Oct 9, 2019 | 15 y | 1 |
| K•••• L••• K••••••Certified Financial Planner | Liberty, Mo | Apr 5, 2022 | 26 y | 1 |
| S••••• H•••Certified Financial Planner | Liberty, Mo | Apr 29, 2025 | 11 y | 0 |
| W•••••• C•••••• K•••• | Liberty, Mo | Sep 15, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••••• C•••••• K•••• from C••••• I••••••••• A••••••• L••Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• L••• K•••••• from B•• F•••••••• A•••••••Apr 5, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••• K••••• B••••• from B•• F•••••••• A•••••••Oct 9, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••• K•••• H••• from O••• R••• W••••• M••••••••• L••Jul 9, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• J•••• K•••• · Ownercontrolsince 05/2019 · owns 75% or more
- B•••••• K••••• K••••• · Senior Financial Advisor, Ccosince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Liberty, Mo · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 178 to 197Apr 28, 2025 to Feb 11, 2026
- Advisory employees · 3 to 4Apr 28, 2025 to Feb 11, 2026
- HNW clients · 49 to 55Apr 28, 2025 to Feb 11, 2026
- Individual clients · 120 to 133Apr 28, 2025 to Feb 11, 2026
- State-registered IARs · 3 to 4Apr 28, 2025 to Feb 11, 2026
- Discretionary RAUM · $139M to $172MApr 28, 2025 to Feb 11, 2026
- HNW RAUM · $103M to $128MApr 28, 2025 to Feb 11, 2026
- Individual RAUM · $30.1M to $37.1MApr 28, 2025 to Feb 11, 2026
- Pension RAUM · $3.3M to $4.3MApr 28, 2025 to Feb 11, 2026
- RAUM · $139M to $172MApr 28, 2025 to Feb 11, 2026
- Financial planning clients · 51-100 to 51-100Feb 10, 2025 to Apr 28, 2025
- Accounts · 160 to 178Mar 27, 2024 to Feb 10, 2025
- HNW clients · 42 to 49Mar 27, 2024 to Feb 10, 2025
- Individual clients · 111 to 120Mar 27, 2024 to Feb 10, 2025
- Pension plan clients · 3 to 5Mar 27, 2024 to Feb 10, 2025
- Discretionary RAUM · $111M to $139MMar 27, 2024 to Feb 10, 2025
- HNW RAUM · $80.0M to $103MMar 27, 2024 to Feb 10, 2025
- Individual RAUM · $26.3M to $30.1MMar 27, 2024 to Feb 10, 2025
- Pension RAUM · $2.4M to $3.3MMar 27, 2024 to Feb 10, 2025
- RAUM · $111M to $139MMar 27, 2024 to Feb 10, 2025
Signals
2 dated events
- W•••••• C•••••• K•••• registered as an investment adviser representative at W•••• S••• W••••• M•••••••••Sep 15, 2026 · Advisor registered · fact
- W•••• S••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 27, 2024 · 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 phone
- 816-429-6743reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 816-455-9552reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 816-853-0611reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 816-429-6743reportedpublic record, Form ADV, Feb 11, 2026
- Contact form
- wswm.net/contactreportedpublished by the firm, firm site, Sep 17, 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
- $43.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026