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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Former SEC-registered adviser
D•••• W••••• S••••••••• L••
Latest filing Jun 17, 2020
First filing on the tape Jan 7, 2020 · 6 filings
RAUM
$14.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$12.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$7.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$14.0M as of Jun 17, 2020
Jan 7, 2020$0 then
HNW client RAUM$3.2M as of Jun 17, 2020
Apr 15, 2020$3.2M then
State-registered IARs (5.B.3)2 as of Jun 17, 2020
Jan 7, 20201 then
Employees (5.A)2 as of Jun 17, 2020
Jan 7, 20201 then
Private funds: no history
Practice profile
derived from the filing of Jun 17, 2020; every figure names its basis
- RAUM per advisor
- $7.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $533,333derivedHNW RAUM over HNW clients
- Average account
- $135,922derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $1.2M, 6 clientsreportedItem 9.A
- 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
- Individuals$9.3M66%
- High-net-worth individuals$3.2M23%
- Charitable organizations$1.5M11%
- Individual clients
- 47reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 103reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••••• S•••••Certified Financial Planner | North Kansas City, Mo | Feb 7, 2020 | 12 y | 3 |
| C••••• T••••• S••••••Certified Financial Planner, Chartered Financial Analyst | North Kansas City, Mo | Feb 7, 2020 | 12 y | 1 |
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
- M•••••• T••••• S••••• from M•••••• S••••••••• A•••• M••••••••• L••Feb 7, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••• T••••• S•••••• from U•• F•••••••• S••••••• I•••Feb 7, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• C••••• T•••••• T••••• · Managing Membercontrolsince 02/2020 · owns 50% to 75%
- S•••••• M••••••• T••••• · Managing Member & Chief Compliance Officercontrolsince 02/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| North Kansas City, Mo | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 103Mar 6, 2020 to Apr 15, 2020
- HNW clients · unset to 6.0Mar 6, 2020 to Apr 15, 2020
- Individual clients · unset to 47.0Mar 6, 2020 to Apr 15, 2020
- Assets in custody · unset to 1200000.0Mar 6, 2020 to Apr 15, 2020
- Custody of client assets · false to trueMar 6, 2020 to Apr 15, 2020
- Discretionary RAUM · $0 to $14.0MMar 6, 2020 to Apr 15, 2020
- HNW RAUM · unset to 3200000.0Mar 6, 2020 to Apr 15, 2020
- Individual RAUM · unset to 9300000.0Mar 6, 2020 to Apr 15, 2020
- RAUM · $0 to $14.0MMar 6, 2020 to Apr 15, 2020
- Advisory employees · 1 to 2Jan 7, 2020 to Feb 7, 2020
- Employees · 1 to 2Jan 7, 2020 to Feb 7, 2020
- State-registered IARs · 1 to 2Jan 7, 2020 to Feb 7, 2020
Signals
2 dated events
- Taylor C••••• T••••• S•••••• (Managing Member) appeared on Schedule A of D•••• W••••• S••••••••• L••Feb 7, 2020 · Control person joined · fact
- D•••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jan 7, 2020 · 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/37249380reportedpublic record, Form ADV, Sep 19, 2026
- Website
- D••••WEALTHS••••••••.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $7.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026