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
E•••••••• A••••••• P••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 1, 2021 · 20 filings
SEC status approved since Mar 31, 2021
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$226M as of Aug 3, 2026
Mar 28, 2022$121M then
HNW client RAUM$135M as of Aug 3, 2026
Mar 28, 2022$0 then
State-registered IARs (5.B.3)4 as of Aug 3, 2026
Mar 28, 20222 then
Employees (5.A)5 as of Aug 3, 2026
Mar 28, 20223 then
Private funds: no history
RAUM +9.8% over the last fiscal year+29% a year over threeIARs 7 to 4offices 3 to 1
Practice profile
derived from the filing of Sep 9, 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
- RAUM per advisor
- $75.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $224,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -61%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $55.2M, 236 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M60%
- Individuals$91.1M40%
- Individual clients
- 320reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,007reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.2M for 236 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W••• H••••••• | Leawood, Ks | Jun 3, 2021 | 27 y | 5 |
| B•••• M• T••••• | Leawood, Ks | Aug 31, 2022 | 17 y | 0 |
| J••••• R• H••••••• | Washington, Dc | Dec 12, 2024 | 21 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount2 left over 36 months
Left, latest
- J••• J••••• A••• to G•••••• W••••• P•••••••• L••May 5, 2026 · RIA to RIA
- S••••• D•••• D••• to O••• P•••••• W••••• M•••••••••Nov 5, 2025 · RIA to a state-registered adviser
- L•••••• L•• C••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Dec 5, 2022 · RIA to RIA
- T••••••• P•••• to T•• F•••••• R•••••••••Oct 12, 2021 · RIA to a state-registered adviser
Joined, latest
- S••••• D•••• D••• from S•••••• N••••••• • C••••••• I•••••••••Aug 23, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• J••••• A••• from R•••••• J•••• • A••••••••• I•••Aug 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• W••• H••••••• from C••••• A•••••• N••••••• L••Jun 3, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••• L•• C••••••• from C••••• A•••••• N••••••• L••May 26, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• E••••• C•••••••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- H•••••••• J•••• W••• · Indirect Ownercontrolsince 02/2021 · owns 25% to 50% of H•• H••••••• I•••
- L••••• E••••• C•••••••• · Indirect Ownercontrolsince 02/2021 · owns 25% to 50% of M•••••• H••••••• L••
- T•••••• B••••• M• · Chief Operations Officersince 06/2023 · owns less than 5%
Entity owners
- H•• H••••••• I••• · Ownerdirect · owns 50% to 75%
- M•••••• H••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Orlando, Fl · principal | 3 | 0 | 0 | ||
| Leawood, Ks | 2 | 0 | 0 | ||
| Missouri City, Tx | 0 | 0 | 1 | ||
| Omaha, Ne | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Leawood, KS2 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 23, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $205,795,570 to $226,045,866, advisors 7 to 4, private clients 966 to 378, offices 3 to 2 (2025-02-06 to 2026-03-23)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 23, 2026individual and HNW clients (Item 5.D) moved from 966.0 to 378.0 (-61.0%) between the annual amendments of 2025-02-06 and 2026-03-23; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.8% percentile
- a•••••• count dropChange between filings · filing Mar 23, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 4.0 (-43.0%) between the annual amendments of 2025-02-06 and 2026-03-23; the peer median change was 0.0% (965 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.2% percentile
- employee count dropChange between filings · filing Mar 23, 2026employees (Item 5.A) moved from 12.0 to 5.0 (-58.0%) between the annual amendments of 2025-02-06 and 2026-03-23; the peer median change was 0.0% (507 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 1.6% percentile
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 25.0% to 60.0% between the annual amendments of 2025-02-06 and 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 3, 2026 to Sep 9, 2026
- Succession · false to unsetAug 3, 2026 to Sep 9, 2026
- Other offices · 2 to 1Mar 23, 2026 to May 5, 2026
- Accounts · 987 to 1,007Oct 8, 2025 to Mar 23, 2026
- Advisory employees · 7 to 4Oct 8, 2025 to Mar 23, 2026
- Advisory activities · 4 to 5Oct 8, 2025 to Mar 23, 2026
- BD registered reps · 2 to 3Oct 8, 2025 to Mar 23, 2026
- Corporate clients · 4 to 0Oct 8, 2025 to Mar 23, 2026
- HNW clients · 25 to 58Oct 8, 2025 to Mar 23, 2026
- Individual clients · 941 to 320Oct 8, 2025 to Mar 23, 2026
- Pension plan clients · 12 to 0Oct 8, 2025 to Mar 23, 2026
- Assets in custody · $43.4M to $55.2MOct 8, 2025 to Mar 23, 2026
- Employees · 12 to 5Oct 8, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 4Oct 8, 2025 to Mar 23, 2026
- Other offices · 3 to 2Oct 8, 2025 to Mar 23, 2026
- Discretionary RAUM · $204M to $226MOct 8, 2025 to Mar 23, 2026
- HNW RAUM · $51.1M to $135MOct 8, 2025 to Mar 23, 2026
- Individual RAUM · $149M to $91.1MOct 8, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $2.0M to $0Oct 8, 2025 to Mar 23, 2026
- Pension RAUM · $1.9M to $0Oct 8, 2025 to Mar 23, 2026
- RAUM · $206M to $226MOct 8, 2025 to Mar 23, 2026
- Accounts · 886 to 987Mar 5, 2024 to Feb 6, 2025
- Advisory employees · 4 to 7Mar 5, 2024 to Feb 6, 2025
- Corporate clients · 0 to 4Mar 5, 2024 to Feb 6, 2025
- HNW clients · 0 to 25Mar 5, 2024 to Feb 6, 2025
- Individual clients · 886 to 941Mar 5, 2024 to Feb 6, 2025
- Pension plan clients · 0 to 12Mar 5, 2024 to Feb 6, 2025
- Assets in custody · unset to 43388395.0Mar 5, 2024 to Feb 6, 2025
- Custody of client assets · false to trueMar 5, 2024 to Feb 6, 2025
- Employees · 4 to 12Mar 5, 2024 to Feb 6, 2025
- Financial planning clients · 11-25 to 1-10Mar 5, 2024 to Feb 6, 2025
- State-registered IARs · 2 to 7Mar 5, 2024 to Feb 6, 2025
- Other offices · 1 to 3Mar 5, 2024 to Feb 6, 2025
- Discretionary RAUM · $172M to $204MMar 5, 2024 to Feb 6, 2025
- HNW RAUM · $0 to $51.1MMar 5, 2024 to Feb 6, 2025
- Individual RAUM · $172M to $149MMar 5, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $0 to $2.0MMar 5, 2024 to Feb 6, 2025
- Pension RAUM · $0 to $1.9MMar 5, 2024 to Feb 6, 2025
- RAUM · $172M to $206MMar 5, 2024 to Feb 6, 2025
- Related broker-dealer · false to trueMar 5, 2024 to Feb 6, 2025
Signals
5 dated events
- J••• J••••• A••• left E•••••••• A••••••• P••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2026-04-27)May 5, 2026 · a•••••• firm change · fact
- S••••• D•••• D••• left E•••••••• A••••••• P••••••• L•• for O••• P•••••• W••••• M••••••••• (registered 2025-11-20)Nov 5, 2025 · a•••••• firm change · fact
- Lee Lindsey Chrystan (Indirect Owner) no longer on Schedule A of E•••••••• A••••••• P••••••• L•• (listed 2022-04-15, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- L•••••• L•• C••••••• left E•••••••• A••••••• P••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-09-22)Dec 5, 2022 · a•••••• firm change · fact
- E•••••••• A••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2021 · 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
- team@harrisoncapitalmanagement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 913-827-4584reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 913-827-4588reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- harrisoncapitalmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-827-4588reportedpublic record, Form ADV, Sep 9, 2026
- Team page
- harrisoncapitalmanagement.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $75.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026