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.

SEC-registered adviser

Umb Private Wealth Management, LLC

Wealth manager with institutional or fund businessKansas City, MissouriCRD 306374SEC 801-117738websiteIAPD
Latest filing Jul 1, 2026
First filing on the tape Nov 5, 2019 · 19 filings
SEC status approved since Dec 5, 2019
RAUM
$125M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
43%
$53.3M individuals and HNW
Advisors
39
registered through the firm on IAPD
RAUM per advisor
$3.2M
derived; firm RAUM over IAPD count
Employees
94
41 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
4
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$125M as of Jul 1, 2026
Mar 13, 2020$0 then
HNW client RAUM$44.8M as of Jul 1, 2026
Mar 29, 2022$13.6M then
State-registered IARs (5.B.3)42 as of Jul 1, 2026
Mar 13, 20200 then
Employees (5.A)94 as of Jul 1, 2026
Mar 13, 20200 then
Private funds4 as of Jul 1, 2026
Mar 29, 20221 then
RAUM +128% over the last fiscal year-17% a year over threeIARs 1 to 42offices 0 to 14
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$3.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
44%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
2.7derived15 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminars, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$70.2M56%
  • High-net-worth individuals$44.8M36%
  • Individuals$8.5M6.8%
  • Corporations and businesses$1.3M1.0%
Individual clients
16reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
46reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.43 fund_share=0.56 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
40 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Nathan Michael WehrmanChartered Financial AnalystKansas City, MoAug 18, 202311 y1
Kimberly Ann GattisCertified Financial PlannerLeawood, Ks May 11, 202627 y2
Steven Charles CairnsKansas City, Mo May 11, 202619 y2
Abraham William RadmaneshKansas City, Mo May 11, 202612 y3
Tylor Anthony WillisCertified Financial PlannerLeawood, Ks May 11, 202614 y2
Brooklyn GormlyCertified Financial PlannerKansas City, Mo May 11, 202610 y2
Jaclyn Susan AndersonKansas City, MoMay 11, 202625 y0
Daniel KiefferKansas City, MoMay 11, 202610 y0
Hope Gena AlbuCertified Financial PlannerDenver, Co May 11, 202611 y4
Landon Mark JensenCertified Financial PlannerScottsdale, Az May 11, 202614 y4
Jake CraterKansas City, Mo May 11, 202624 y6
Michael Aaron YeagerKansas City, Mo May 12, 202619 y0
Todd Frederick KroughEdina, Mn May 12, 202639 y3
Kimberly Johnsen BittnerCertified Financial PlannerKansas City, Mo May 12, 202622 y0
Sarah Rose SzczublewskiCertified Financial PlannerKansas City, Mo May 12, 202610 y1
Thomas Francis PeckoshKansas City, MoMay 12, 202628 y0
Paige Margaret RadkeMilwaukee, Wi May 12, 202612 y2
Julie Ann EnloeKansas City, MoMay 13, 202628 y1
Wayne Robert OltjenKansas City, MoMay 13, 202625 y3
Benjamin Joseph SkillingCertified Financial PlannerKansas City, Mo May 13, 202623 y4
Jenifer Jeanne RieckKansas City, MoMay 13, 202618 y3
Nick NguyenKansas City, MoMay 13, 202610 y1
Derrick R EversCertified Financial PlannerKansas City, Mo May 13, 202611 y1
Bryan EsarcoKansas City, Mo May 13, 202625 y0
Sean Patrick KennedyLeawood, Ks May 13, 202612 y0
Ralph David JanitellKansas City, Mo May 13, 202641 y7
Chris Lawrence SchurmanKansas City, Mo May 13, 202625 y2
Jimmy Ray TurnerKansas City, Mo May 13, 202627 y6
Melissa Kay SturgisKansas City, MoMay 13, 202634 y3
Christine Marie KirkChartered Financial AnalystDenver, Co May 14, 202612 y0
Giridhar Nmn KrishnanPhoenix, Az May 14, 202620 y2
Bernard Loyd ColsonChartered Financial AnalystKansas City, Mo May 18, 202616 y0
Rigley NussCertified Financial PlannerKansas City, Mo May 18, 202610 y0
Regan Michelle HamiltonChartered Financial AnalystKansas City, Mo May 18, 202613 y1
Cody Stratton CarpenterCertified Financial PlannerKansas City, Mo May 19, 202617 y2
David M. KuebelbeckCertified Financial PlannerKansas City, MoMay 20, 202627 y0
Michael Joseph DiederichCertified Financial PlannerKansas City, Ks May 22, 202631 y2
Jonathon Charles CushmanCertified Financial PlannerKansas City, Mo Jun 8, 202613 y0
Daniel Michael HerreraKansas City, Mo Sep 10, 202611 y0
Christopher Scott JonesCertified Financial PlannerKansas City, MoSep 14, 202632 y3
Advisor movement
2 left, 27 joined in 12 months
net +25 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 5.1% of current headcount2 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
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Fw Tessera Horizon, LLCPrivate Equity Fund$20.7M1Mar 31, 2023
Fw Tessera Royale, LLCPrivate Equity Fund$15.6M1Mar 31, 2023
Fw Tessera LLCPrivate Equity Fund$8.4M1Mar 31, 2023
Ks Halite, LLCPrivate Equity Fund$6.6M1Mar 29, 2022
Owners and control persons
Schedule A and B, latest filing
  • Andrew Jeffrey Smith · Cco
    since 03/2023 · owns less than 5%
Entity owners
  • Umb Financial Corp · Stock Holder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Umb Private Wealth Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Kansas City, Mo · principal393821
Leawood, Ks770
Denver, Co330
Milwaukee, Wi220
Phoenix, Az220
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO1 employees
What changed
consecutive filings, newest first
  • Accounts · 4 to 46
    May 22, 2026 to Jul 1, 2026
  • Corporate clients · unset to 1.0
    May 22, 2026 to Jul 1, 2026
  • HNW clients · unset to 25.0
    May 22, 2026 to Jul 1, 2026
  • Individual clients · unset to 16.0
    May 22, 2026 to Jul 1, 2026
  • Other offices · 13 to 14
    May 22, 2026 to Jul 1, 2026
  • Discretionary RAUM · $0 to $54.5M
    May 22, 2026 to Jul 1, 2026
  • HNW RAUM · unset to 44760018.0
    May 22, 2026 to Jul 1, 2026
  • Individual RAUM · unset to 8513013.0
    May 22, 2026 to Jul 1, 2026
  • Non-discretionary RAUM · $68.4M to $70.2M
    May 22, 2026 to Jul 1, 2026
  • Pooled vehicle RAUM · $68.4M to $70.2M
    May 22, 2026 to Jul 1, 2026
  • RAUM · $68.4M to $125M
    May 22, 2026 to Jul 1, 2026
  • Advisory employees · 1 to 41
    Mar 30, 2026 to May 22, 2026
  • Advisory activities · 1 to 7
    Mar 30, 2026 to May 22, 2026
  • Employees · 8 to 94
    Mar 30, 2026 to May 22, 2026
  • Financial planning clients · to 0
    Mar 30, 2026 to May 22, 2026
  • State-registered IARs · 1 to 42
    Mar 30, 2026 to May 22, 2026
  • Other offices · 0 to 13
    Mar 30, 2026 to May 22, 2026
  • Business name · UMB ASSET MANAGEMENT, LLC to UMB PRIVATE WEALTH MANAGEMENT, LLC
    Jun 30, 2025 to Mar 30, 2026
  • Employees · 7 to 8
    Jun 30, 2025 to Mar 30, 2026
  • Legal name · UMB ASSET MANAGEMENT, LLC to UMB PRIVATE WEALTH MANAGEMENT, LLC
    Jun 30, 2025 to Mar 30, 2026
  • Non-discretionary RAUM · $47.5M to $68.4M
    Jun 30, 2025 to Mar 30, 2026
  • Pooled vehicle RAUM · $47.5M to $68.4M
    Jun 30, 2025 to Mar 30, 2026
  • RAUM · $47.5M to $68.4M
    Jun 30, 2025 to Mar 30, 2026
  • Financial planning clients · unset to
    Mar 31, 2025 to Jun 30, 2025
  • Non-discretionary RAUM · $54.8M to $47.5M
    Mar 31, 2025 to Jun 30, 2025
  • Pooled vehicle RAUM · $54.8M to $47.5M
    Mar 31, 2025 to Jun 30, 2025
  • RAUM · $54.8M to $47.5M
    Mar 31, 2025 to Jun 30, 2025
  • Accounts · 5 to 4
    Jul 22, 2024 to Mar 31, 2025
  • Assets in custody · 51315223.0 to unset
    Jul 22, 2024 to Mar 31, 2025
  • Custody of client assets · true to false
    Jul 22, 2024 to Mar 31, 2025
  • Employees · 1 to 7
    Jul 22, 2024 to Mar 31, 2025
  • Other offices · 1 to 0
    Jul 22, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $56.3M to $54.8M
    Jul 22, 2024 to Mar 31, 2025
  • Pooled vehicle RAUM · $51.3M to $54.8M
    Jul 22, 2024 to Mar 31, 2025
  • RAUM · $56.3M to $54.8M
    Jul 22, 2024 to Mar 31, 2025
  • Assets in custody · $49.7M to $51.3M
    Sep 18, 2023 to Mar 30, 2024
  • Employees · 8 to 1
    Sep 18, 2023 to Mar 30, 2024
  • State-registered IARs · 2 to 1
    Sep 18, 2023 to Mar 30, 2024
  • Non-discretionary RAUM · $54.7M to $56.3M
    Sep 18, 2023 to Mar 30, 2024
  • Pooled vehicle RAUM · $49.7M to $51.3M
    Sep 18, 2023 to Mar 30, 2024
Signals
15 dated events
  • Christopher Scott Jones registered as an investment adviser representative at Umb Private Wealth Management, Llc
    Sep 14, 2026 · Advisor registered · fact
  • Philip Michaud left Umb Private Wealth Management, Llc for First National Advisers, Llc (registered 2026-07-28)
    Jun 1, 2026 · Advisor changed firm · fact
  • Steven Paul Anderson left Umb Private Wealth Management, Llc for First National Advisers, Llc (registered 2026-07-29)
    Jun 1, 2026 · Advisor changed firm · fact
  • 2 advisors left Umb Private Wealth Management, LLC (Kansas City, MO) for First National Advisers, LLC on the same day
    Jun 1, 2026 · Team lift-out · derived
  • Umb Private Wealth Management, Llc reported 13 offices beyond its principal office, up from 0 (2026-03-30 to 2026-05-22)
    May 22, 2026 · Office count change · derived
  • Umb Private Wealth Management, Llc reported 42 state-registered advisory representatives, up from 1 (2026-03-30 to 2026-05-22)
    May 22, 2026 · Advisor headcount change · derived
  • 2 advisors left Umb Financial Services, Inc. (Kansas City, MO) for Umb Private Wealth Management, LLC on the same day
    Apr 30, 2026 · Team lift-out · derived
  • 2 advisors left Umb Financial Services, Inc. (Leawood, KS) for Umb Private Wealth Management, LLC on the same day
    Apr 30, 2026 · Team lift-out · derived
  • 2 advisors left Umb Financial Services, Inc. (Kansas City, MO) for Umb Private Wealth Management, LLC on the same day
    Apr 14, 2026 · Team lift-out · derived
  • 2 advisors left Umb Financial Services, Inc. (Derby, KS) for Umb Private Wealth Management, LLC on the same day
    Apr 14, 2026 · Team lift-out · derived
  • Umb Private Wealth Management, Llc reported RAUM $54.7M, down 75% from $216.0M (2023-03-31 to 2023-09-01)
    Sep 1, 2023 · RAUM change · derived
  • Farentino Nikki Newton (President) no longer on Schedule A of Umb Private Wealth Management, Llc (listed 2023-03-31, absent 2023-09-01)
    Sep 1, 2023 · Control person left · inference
  • William Daniel Weeks (Managing Director & Cco) no longer on Schedule A of Umb Private Wealth Management, Llc (listed 2022-03-29, absent 2022-11-22)
    Nov 22, 2022 · Control person left · inference
  • Daniel William Weeks left Umb Private Wealth Management, Llc for Nilsine Partners, Llc (registered 2022-11-22)
    Nov 22, 2022 · Advisor changed firm · fact
  • Umb Family Wealth, Llc filed its initial SEC registration (Form ADV)
    Nov 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Website
umb.com/privatewealthreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
816-860-7000reportedpublic record, Form ADV, Jul 1, 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
Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor
$3.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026