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••••• W••••• P•••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Nov 29, 2021 · 16 filings
SEC status approved since Jan 3, 2022
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$258M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$259M as of Aug 18, 2026
Feb 6, 2023$172M then
HNW client RAUM$78.2M as of Aug 18, 2026
Feb 6, 2023$61.6M then
State-registered IARs (5.B.3)6 as of Aug 18, 2026
Feb 6, 20234 then
Employees (5.A)8 as of Aug 18, 2026
Feb 6, 20236 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 4 to 6offices 0 to 1
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $169,784derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +58%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.6M, 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)
- 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
- Individuals$180M70%
- High-net-worth individuals$78.2M30%
- Charitable organizations$628,1440.2%
- Individual clients
- 895reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,523reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• E••••• A•••••••Certified Financial Planner | Independence, Mo | Jan 28, 2022 | 41 y | 1 |
| D•••• K•••• G••••••Certified Financial Planner | Independence, Mo | Jan 28, 2022 | 13 y | 1 |
| J•••• W•••• A••••••• | Independence, Mo | Jan 28, 2022 | 27 y | 1 |
| J•••••• A••••• A•••• | Independence, Mo | May 14, 2025 | 18 y | 0 |
| P••••• M•••••• A••••••• | Independence, Mo | Mar 26, 2026 | 19 y | 0 |
| D•••••• W•••• B•••••Certified Financial Planner | Topeka, Ks | May 17, 2026 | 10 y | 0 |
| B•••• D• I•••••Certified Financial Planner | Topeka, Ks | May 17, 2026 | 26 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- B•••• D• I••••• from N••••••••• M••••• I••••••••• S•••••••••May 17, 2026 · Other
- E•••• E••••• A••••••• from A••••••••• F•••••••• S•••••••• L••Jan 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• K•••• G•••••• from A••••••••• F•••••••• S•••••••• L••Jan 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• W•••• A••••••• from A••••••••• F•••••••• S•••••••• L••Jan 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Feb 1, 2022 · Independence, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• E••••• E••••• · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- A•••••••• J••••• W•••• · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- G••••••• D••••• K•••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- A•••••••• E••••• E••••• · Membercontrolsince 01/2022 · owns 25% to 50% of E•• H••••••• L••
- A•••••••• J••••• W•••• · Membercontrolsince 01/2022 · owns 25% to 50% of E•• H••••••• L••
- G••••••• D••••• K•••• · Membercontrolsince 01/2022 · owns 25% to 50% of E•• H••••••• L••
Entity owners
- E•• H••••••• L•• · Managing Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Independence, Mo · principal | 7 | 3 | 0 | ||
| Topeka, Ks | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 593.0 to 939.0 (+58.0%) between the annual amendments of 2025-02-21 and 2026-03-26; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 26, 2026 to May 17, 2026
- Accounts · 1,412 to 1,523May 24, 2025 to Mar 26, 2026
- Advisory employees · 4 to 6May 24, 2025 to Mar 26, 2026
- HNW clients · 54 to 44May 24, 2025 to Mar 26, 2026
- Individual clients · 539 to 895May 24, 2025 to Mar 26, 2026
- Assets in custody · $1.7M to $2.6MMay 24, 2025 to Mar 26, 2026
- Employees · 7 to 8May 24, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 6May 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $223M to $259MMay 24, 2025 to Mar 26, 2026
- HNW RAUM · $97.1M to $78.2MMay 24, 2025 to Mar 26, 2026
- Individual RAUM · $125M to $180MMay 24, 2025 to Mar 26, 2026
- RAUM · $223M to $259MMay 24, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 51-100Feb 21, 2025 to May 24, 2025
- Assets in custody · unset to 1668495.0Jan 22, 2025 to Feb 21, 2025
- Custody of client assets · false to trueJan 22, 2025 to Feb 21, 2025
- Accounts · 1,329 to 1,412Aug 5, 2024 to Jan 22, 2025
- HNW clients · 46 to 54Aug 5, 2024 to Jan 22, 2025
- Individual clients · 531 to 539Aug 5, 2024 to Jan 22, 2025
- Discretionary RAUM · $196M to $223MAug 5, 2024 to Jan 22, 2025
- HNW RAUM · $78.2M to $97.1MAug 5, 2024 to Jan 22, 2025
- Individual RAUM · $117M to $125MAug 5, 2024 to Jan 22, 2025
- RAUM · $196M to $223MAug 5, 2024 to Jan 22, 2025
- Accounts · 1,257 to 1,329Feb 6, 2023 to Feb 7, 2024
- HNW clients · 39 to 46Feb 6, 2023 to Feb 7, 2024
- Individual clients · 545 to 531Feb 6, 2023 to Feb 7, 2024
- Employees · 6 to 7Feb 6, 2023 to Feb 7, 2024
- Discretionary RAUM · $172M to $196MFeb 6, 2023 to Feb 7, 2024
- HNW RAUM · $61.6M to $78.2MFeb 6, 2023 to Feb 7, 2024
- Individual RAUM · $110M to $117MFeb 6, 2023 to Feb 7, 2024
- Pension RAUM · 421000.0 to unsetFeb 6, 2023 to Feb 7, 2024
- RAUM · $172M to $196MFeb 6, 2023 to Feb 7, 2024
- Accounts · 1,080 to 1,257Aug 29, 2022 to Feb 6, 2023
- HNW clients · 34 to 39Aug 29, 2022 to Feb 6, 2023
- Individual clients · 455 to 545Aug 29, 2022 to Feb 6, 2023
- Financial planning clients · 0 to 51-100Aug 29, 2022 to Feb 6, 2023
- Discretionary RAUM · $170M to $172MAug 29, 2022 to Feb 6, 2023
- HNW RAUM · $56.6M to $61.6MAug 29, 2022 to Feb 6, 2023
- Individual RAUM · $113M to $110MAug 29, 2022 to Feb 6, 2023
- Pension RAUM · $200,000 to $421,000Aug 29, 2022 to Feb 6, 2023
- RAUM · $170M to $172MAug 29, 2022 to Feb 6, 2023
Signals
6 dated events
- 3 advisors left A••••••••• F•••••••• S•••••••• L•• (Independence, MO) for E••••• W••••• P•••••••• L•• a day apartFeb 1, 2022 · Team lift-out · derived
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of E••••• W••••• P•••••••• L•• (listed 2021-11-29, absent 2022-01-27)Jan 27, 2022 · Control person left · inference
- Eugene Eldon A••••••• (Chief Executive Officer) appeared on Schedule A of E••••• W••••• P•••••••• L••Jan 27, 2022 · Control person joined · fact
- Keith David Gilmore (Chief Compliance Officer) appeared on Schedule A of E••••• W••••• P•••••••• L••Jan 27, 2022 · Control person joined · fact
- W•••• Jason A••••••• (Chief Financial Officer) appeared on Schedule A of E••••• W••••• P•••••••• L••Jan 27, 2022 · Control person joined · fact
- E••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 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 phone
- 816-373-1068reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- e•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 816-373-1068reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- e•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- e•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026