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

O••••••••• A•••• M•••••••••

Asset manager (funds and pooled vehicles)Overland Park, KansasCRD 320608SEC 801-127414IAPD
Legal name O••••••••• A•••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Feb 1, 2023 · 9 filings
SEC status approved since Mar 3, 2023
RAUM
$762,310
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$762,310 as of Apr 1, 2026
Mar 29, 2024$588,446 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 29, 20242 then
Employees (5.A)3 as of Apr 1, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
RAUM per advisor
$381,155derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$12,921derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisers, otherreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$762,310100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
59reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• S••••• · Chief Investment Officercontrol
        since 10/2021 · owns less than 5%
      • M•••••• V••••••• L•• · Presidentcontrol
        since 01/2020 · owns less than 5%
      • T•••••• P••••••• J•••• · Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      Entity owners
      • D•••••• I•••••••• L•• · Owner
        direct · owns 75% or more
      • D•••••• I•••••••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of D•••••• I•••••••• L••
      • O••••••••• B••••••• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• I••••••••• 2• L••
      • O••••••••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• B••••••• L••
      • O••••••••• I••••••••• 1• L•• · Shareholder
        indirect · owns 75% or more of D•••••• I•••••••• H••••••• L••
      • O••••••••• I••••••••• 2• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• I••••••••• 1• L••
      • O••••••••• M••••••••• H••••••• L•• · Member Class A Interests
        indirect · owns 75% or more of O••••••••• M••••••••• L••
      • O••••••••• M••••••••• L•• · Member Class A Interests
        indirect · owns 25% to 50% of O••••••••• T•••• L••
      • O••••••••• T•••• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• H••••••• L••
      • O••• O• H••••••• I••• · Member Class A Interests
        indirect · owns 25% to 50% of O••••••••• M••••••••• H••••••• L••
      • O••• O• L•••••• P••••••••• · Shareholder
        indirect · owns 75% or more of O••• O• H••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list O••••••••• A•••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 47 to 59
        Jan 3, 2026 to Apr 1, 2026
      • Discretionary RAUM · $662,497 to $762,310
        Jan 3, 2026 to Apr 1, 2026
      • RAUM · $662,497 to $762,310
        Jan 3, 2026 to Apr 1, 2026
      • BD registered reps · 2 to 1
        Mar 29, 2024 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Mar 29, 2024 to Mar 31, 2025
      • Discretionary RAUM · $588,446 to $662,497
        Mar 29, 2024 to Mar 31, 2025
      • RAUM · $588,446 to $662,497
        Mar 29, 2024 to Mar 31, 2025
      • Related broker-dealer · false to true
        Mar 29, 2024 to Mar 31, 2025
      • Accounts · 35 to 47
        Nov 20, 2023 to Mar 29, 2024
      • Advisory employees · 0 to 1
        Nov 20, 2023 to Mar 29, 2024
      • BD registered reps · 0 to 2
        Nov 20, 2023 to Mar 29, 2024
      • Employees · 0 to 3
        Nov 20, 2023 to Mar 29, 2024
      • Insurance-licensed employees · 0 to 2
        Nov 20, 2023 to Mar 29, 2024
      • Financial planning clients · unset to 0
        Nov 20, 2023 to Mar 29, 2024
      • State-registered IARs · 0 to 2
        Nov 20, 2023 to Mar 29, 2024
      • Discretionary RAUM · $365,904 to $588,446
        Nov 20, 2023 to Mar 29, 2024
      • RAUM · $365,904 to $588,446
        Nov 20, 2023 to Mar 29, 2024
      Signals
      1 dated events
      • O••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Feb 1, 2023 · 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
      Principal office phone
      877-742-2021reportedpublic record, Form ADV, Apr 1, 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
      Asset manager (funds and pooled vehicles)deriveda 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