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
D•••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 11, 2022 · 20 filings
SEC status approved since Feb 11, 2022
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$257M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$64.3M
derived; firm RAUM over IAPD count
Employees
6
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$257M as of Mar 30, 2026
Mar 5, 2023$93.4M then
HNW client RAUM$200M as of Mar 30, 2026
Mar 5, 2023$65.3M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 5, 20232 then
Employees (5.A)6 as of Mar 30, 2026
Mar 5, 20233 then
Private funds: no history
RAUM +26% over the last fiscal year+40% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- $64.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $306,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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
- High-net-worth individuals$200M78%
- Individuals$57.2M22%
- Individual clients
- 146reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 839reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• J••• S•••••• | Lenexa, Ks | Feb 15, 2022 | 22 y | 3 |
| J•••• R•••••• N•••••••Certified Financial Planner | Lenexa, Ks | Feb 15, 2022 | 20 y | 1 |
| R••• D••• J••••Certified Financial Planner | Lenexa, Ks | Oct 4, 2024 | 18 y | 2 |
| A•••• E•••••••• H••••••Certified Financial Planner | Lenexa, Ks | Oct 8, 2024 | 11 y | 0 |
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
- R••• D••• J•••• from M••••• W••••• M••••••••• L••Oct 4, 2024 · RIA to RIA
- E••• J••• S•••••• from B••••• F•••••••• G••••Feb 15, 2022 · RIA to a newly registered adviser
- J•••• R•••••• N••••••• from B••••• F•••••••• G••••Feb 15, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••• F•••••••• G••••Feb 15, 2022 · Lenexa, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••••• J••••• R•••••• · Member / Principal / Chief Compliance Officercontrolsince 02/2022 · owns 50% to 75%
- S••••••• E•••• J••• · Managing Member / Principalcontrolsince 02/2022 · 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 |
|---|---|---|---|---|---|
| Lenexa, Ks · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kanas City, MO2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 30, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-09-23, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,350 to 839Sep 23, 2025 to Mar 30, 2026
- HNW clients · 75 to 87Sep 23, 2025 to Mar 30, 2026
- Individual clients · 167 to 146Sep 23, 2025 to Mar 30, 2026
- Employees · 4 to 6Sep 23, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 101-250Sep 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $233M to $257MSep 23, 2025 to Mar 30, 2026
- HNW RAUM · $173M to $200MSep 23, 2025 to Mar 30, 2026
- Individual RAUM · $60.4M to $57.2MSep 23, 2025 to Mar 30, 2026
- RAUM · $233M to $257MSep 23, 2025 to Mar 30, 2026
- Accounts · 195 to 1,350Mar 19, 2025 to Sep 23, 2025
- HNW clients · 85 to 75Mar 19, 2025 to Sep 23, 2025
- Individual clients · 110 to 167Mar 19, 2025 to Sep 23, 2025
- Financial planning clients · 0 to 0Mar 19, 2025 to Sep 23, 2025
- Discretionary RAUM · $204M to $233MMar 19, 2025 to Sep 23, 2025
- HNW RAUM · $165M to $173MMar 19, 2025 to Sep 23, 2025
- Individual RAUM · $39.0M to $60.4MMar 19, 2025 to Sep 23, 2025
- RAUM · $204M to $233MMar 19, 2025 to Sep 23, 2025
- Related insurance company · false to trueMar 19, 2025 to Sep 23, 2025
- Accounts · 515 to 195Apr 9, 2024 to Mar 19, 2025
- Advisory employees · 2 to 4Apr 9, 2024 to Mar 19, 2025
- HNW clients · 104 to 85Apr 9, 2024 to Mar 19, 2025
- Individual clients · 46 to 110Apr 9, 2024 to Mar 19, 2025
- Employees · 3 to 4Apr 9, 2024 to Mar 19, 2025
- State-registered IARs · 2 to 4Apr 9, 2024 to Mar 19, 2025
- Discretionary RAUM · $149M to $204MApr 9, 2024 to Mar 19, 2025
- HNW RAUM · $125M to $165MApr 9, 2024 to Mar 19, 2025
- Individual RAUM · $23.5M to $39.0MApr 9, 2024 to Mar 19, 2025
- RAUM · $149M to $204MApr 9, 2024 to Mar 19, 2025
- Accounts · 386 to 515Oct 17, 2023 to Feb 14, 2024
- HNW clients · 35 to 104Oct 17, 2023 to Feb 14, 2024
- Individual clients · 82 to 46Oct 17, 2023 to Feb 14, 2024
- Discretionary RAUM · $93.4M to $149MOct 17, 2023 to Feb 14, 2024
- HNW RAUM · $65.3M to $125MOct 17, 2023 to Feb 14, 2024
- Individual RAUM · $28.1M to $23.5MOct 17, 2023 to Feb 14, 2024
- RAUM · $93.4M to $149MOct 17, 2023 to Feb 14, 2024
- HQ city · KANSAS CITY to LENEXAMar 7, 2023 to Jun 2, 2023
- Accounts · 0 to 386Jun 16, 2022 to Mar 5, 2023
- HNW clients · unset to 35.0Jun 16, 2022 to Mar 5, 2023
- Individual clients · unset to 82.0Jun 16, 2022 to Mar 5, 2023
- Employees · 2 to 3Jun 16, 2022 to Mar 5, 2023
Signals
5 dated events
- John Eric Sheerin (Managing Member / Principal) appeared on Schedule A of D•••••• W••••• M••••••••• L••Feb 15, 2022 · Control person joined · fact
- Russell Jason Newcomer (Member / Principal / Chief Compliance Officer) appeared on Schedule A of D•••••• W••••• M••••••••• L••Feb 15, 2022 · Control person joined · fact
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of D•••••• W••••• M••••••••• L•• (listed 2022-01-11, absent 2022-02-15)Feb 15, 2022 · Control person left · inference
- 2 advisors left B••••• F•••••••• G•••• (Lenexa, KS) for D•••••• W••••• M••••••••• L•• on the same dayFeb 15, 2022 · Team lift-out · derived
- D•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 11, 2022 · 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/82754034reportedpublic record, Form ADV, Sep 18, 2026
- Website
- fb.com/dogwoodwealthreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (913) 232-2900reportedpublic record, Form ADV, Mar 30, 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
- $64.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026