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.

Former SEC-registered adviser

Triad Wealth Management, LLC

Former SEC-registered adviserLawrence, KansasCRD 314293SEC 801-121419IAPD
Latest filing Jul 7, 2022
First filing on the tape May 6, 2021 · 9 filings
RAUM
$44,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$44,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$44,000 as of Jul 7, 2022
May 6, 2021$0 then
HNW client RAUM$0 as of Jul 7, 2022
May 6, 2021$0 then
State-registered IARs (5.B.3)2 as of Jul 7, 2022
May 6, 20212 then
Employees (5.A)12 as of Jul 7, 2022
May 6, 202112 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 7, 2022; every figure names its basis
RAUM per advisor
$22,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$44,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$44,000100%
Individual clients
1reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David Mark Harper · Chief Compliance Officercontrol
      since 04/2021 · owns less than 5%
    • Lance Bradley Johnson · Membercontrol
      since 04/2021 · owns 50% to 75% of Triad Collective, LLC
    • Christopher Shawn Sparks · Membercontrol
      since 04/2021 · owns 50% to 75% of Triad Collective, LLC
    Entity owners
    • Triad Collective, LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 1
      May 20, 2022 to Jul 7, 2022
    • Accounts · 0 to 1
      Jan 19, 2022 to Mar 20, 2022
    • Individual clients · 0 to 1
      Jan 19, 2022 to Mar 20, 2022
    • Discretionary RAUM · $0 to $44,000
      Jan 19, 2022 to Mar 20, 2022
    • Individual RAUM · $0 to $44,000
      Jan 19, 2022 to Mar 20, 2022
    • RAUM · $0 to $44,000
      Jan 19, 2022 to Mar 20, 2022
    Signals
    4 dated events
    • Nicklaus Edwin Whitaker left Triad Wealth Management, Llc for Triad Wealth Partners, Llc (registered 2023-08-11)
      Mar 17, 2023 · Advisor changed firm · fact
    • Mark David Harper left Triad Wealth Management, Llc for Triad Wealth Partners, Llc (registered 2023-08-11)
      Mar 17, 2023 · Advisor changed firm · fact
    • 2 advisors left Triad Wealth Management, LLC (Lawrence, KS) for Triad Wealth Partners, LLC on the same day
      Mar 17, 2023 · Team lift-out · derived
    • Triad Wealth Management, Llc filed its initial SEC registration (Form ADV)
      May 6, 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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026