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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Former SEC-registered adviser

H•••••••• 6• H••••••• L••

Former SEC-registered adviserWichita, KansasCRD 317694SEC 801-122902IAPD
Latest filing Mar 24, 2022
First filing on the tape Nov 17, 2021 · 4 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
56%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$2.0B as of Mar 24, 2022
Nov 17, 2021$0 then
HNW client RAUM$1.1B as of Mar 24, 2022
Nov 17, 2021$0 then
State-registered IARs (5.B.3)20 as of Mar 24, 2022
Nov 17, 202120 then
Employees (5.A)24 as of Mar 24, 2022
Nov 17, 202123 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2022; every figure names its basis
RAUM per advisor
$98.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
34derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$600,287derivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
10.0derived2 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 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, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$2.0BreportedItem 5.I
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
  • High-net-worth individuals$1.1B53%
  • Investment companies$675M34%
  • Pooled investment vehicles$158M8.0%
  • Individuals$53.7M2.7%
  • Charitable organizations$30.6M1.6%
  • Corporations and businesses$1.8M0.1%
Individual clients
266reported
HNW clients
407reported
Pension plan clients
0reported
Charitable clients
6reported
Accounts
3,282reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
  • B•••• D•••••• J••••• · Director Of Financecontrol
    since 12/2021 · owns less than 5%
  • B••••• J•••• T••••• · Principalcontrol
    since 12/2021 · owns less than 5%
  • D••••••• M•••••••• A•• · Chief Executive Officer
    since 12/2021 · owns less than 5%
  • M•••• A•••••• J••• · Chief Investment Officer
    since 12/2021 · owns less than 5%
  • P••••••••• T•••••• L•••••••• · Chief Operating Officer
    since 12/2021 · owns less than 5%
  • S••••••••• A••••• A•• · Chief Compliance Officer
    since 03/2022 · owns less than 5%
Entity owners
  • H•••••••• H•••••••• L•• · Member
    direct · owns 75% or more
  • H•••••••• I••••••••• L•• · Member
    indirect · owns 75% or more of H•••••••• H•••••••• L••
  • H• H••••••• L•• · Member
    indirect · owns 75% or more of H•••••••• I••••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL1 employees
What changed
consecutive filings, newest first
  • Accounts · 0 to 3,282
    Mar 2, 2022 to Mar 24, 2022
  • Advisory activities · 6 to 7
    Mar 2, 2022 to Mar 24, 2022
  • BD registered reps · 16 to 15
    Mar 2, 2022 to Mar 24, 2022
  • Charity clients · 4 to 6
    Mar 2, 2022 to Mar 24, 2022
  • Corporate clients · 6 to 13
    Mar 2, 2022 to Mar 24, 2022
  • HNW clients · 522 to 407
    Mar 2, 2022 to Mar 24, 2022
  • Individual clients · 161 to 266
    Mar 2, 2022 to Mar 24, 2022
  • Pension plan clients · unset to 0.0
    Mar 2, 2022 to Mar 24, 2022
  • Employees · 23 to 24
    Mar 2, 2022 to Mar 24, 2022
  • Financial planning clients · 0 to 51-100
    Mar 2, 2022 to Mar 24, 2022
  • Discretionary RAUM · $0 to $1.7B
    Mar 2, 2022 to Mar 24, 2022
  • HNW RAUM · $0 to $1.1B
    Mar 2, 2022 to Mar 24, 2022
  • Individual RAUM · $0 to $53.7M
    Mar 2, 2022 to Mar 24, 2022
  • Non-discretionary RAUM · $0 to $271M
    Mar 2, 2022 to Mar 24, 2022
  • Pension RAUM · unset to 0.0
    Mar 2, 2022 to Mar 24, 2022
  • Pooled vehicle RAUM · $0 to $158M
    Mar 2, 2022 to Mar 24, 2022
  • RAUM · $0 to $2.0B
    Mar 2, 2022 to Mar 24, 2022
Signals
23 dated events
  • J••••• M• S•••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • J••••• A•••• B•••••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • T•••••• J••• L•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • A•••• H•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • J•••• M••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • T••••• L•••••••• P•••••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 19, 2022 · Advisor changed firm · fact
  • H•••••••• 6• H••••••• L••'s advisors moved to H•••••••• A•••••••• L•• (Wichita, KS): 6 of 6 registered, on the same day
    Nov 19, 2022 · Firm absorbed (people side) · derived
  • M••••• H••••• P••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • D•••• G••••• P••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • A••••• J••• M••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • R••••• B•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • M••••••• A•• D•••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • T••••• H•••• K••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • D••••• R•••• R••••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • B•••• S•••• G•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • S•••••••• C•••••••• M••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • A••••• J•• M•••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • S•••• J••• H•••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • A•••• D••••• W•••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
    Nov 4, 2022 · Advisor changed firm · fact
  • H•••••••• 6• H••••••• L••'s advisors moved to H•••••••• A•••••••• L•• (Wichita, KS): 12 of 18 registered, on the same day
    Nov 4, 2022 · Firm absorbed (people side) · derived
  • Linn Ricky Myers (Chief Compliance Officer) no longer on Schedule A of H•••••••• 6• H••••••• L•• (listed 2021-11-17, absent 2022-03-02)
    Mar 2, 2022 · Control person left · inference
  • 6• M••••••• L••'s advisors moved to H•••••••• 6• H••••••• L•• (Wichita, KS): 17 of 18 registered, on the same day
    Feb 25, 2022 · Firm absorbed (people side) · derived
  • H•••••••• 6• H••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 17, 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