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
M• W••••• A•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jul 15, 2022 · 17 filings
SEC status approved since Aug 15, 2022
RAUM
$394M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$392M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$394M as of Feb 27, 2026
Mar 29, 2023$277M then
HNW client RAUM$244M as of Feb 27, 2026
Mar 29, 2023$162M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Mar 29, 20233 then
Employees (5.A)5 as of Feb 27, 2026
Mar 29, 20235 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 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
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 190derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $336,092derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $212,553, 18 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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
- High-net-worth individuals$244M62%
- Individuals$148M38%
- Pension and profit-sharing plans$1.8M0.5%
- Individual clients
- 459reported
- HNW clients
- 112reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,173reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $212,553 for 18 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P••• A••••• | Overland Park, Ks | Feb 22, 2023 | 15 y | 1 |
| S•••• T••••• S•••••••• | Overland Park, Ks | Feb 22, 2023 | 12 y | 1 |
| A•••••• R•••••• M•••••• | Overland Park, Ks | Feb 22, 2023 | 38 y | 2 |
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
- A•••••• R•••••• M•••••• from I•••••••• A•••••••• L••Feb 22, 2023 · Other
- M•••••• P••• A••••• from I•••••••• A•••••••• L••Feb 22, 2023 · Other
- S•••• T••••• S•••••••• from I•••••••• A•••••••• L••Feb 22, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I•••••••• A•••••••• L••Nov 7, 2023 · Overland Park, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A••••••• R•••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- M••••••••• A•••••••• L•• · Managing Memberdirect · owns 75% or more
- S••••••••• A••••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of S••••••••• A•••••••• L••
- S••••••••• A•••••••• L•• · Managing Memberindirect · owns 75% or more of M••••••••• A•••••••• L••
- T•• A••••••• S••••••• B••••••• L•• · Memberindirect · owns 25% to 50% of T•• A••••••• S••••••• S•••••••• L••
- T•• A••••••• S••••••• S•••••••• L•• · Managing Memberindirect · owns 75% or more of S••••••••• A••••••• H•••••••• L••
- T•• V• G•• L••• · Managing Memberindirect · owns F of T•• A••••••• S••••••• B••••••• L••
- T•• V• G•• L••• · Managing Memberindirect · owns F of T•• A••••••• S••••••• S•••••••• L••
- T•• V• G•• L••• · General Partnerindirect · owns F of T•••••• H••• P••••••• V•••• L•••
- T•• V• G•• L••• · General Partnerindirect · owns F of T•••••• H••• P••••••• V•• L•••
- T•••••• H••• P••••••• V•••• L••• · Memberindirect · owns 75% or more of T•• A••••••• S••••••• B••••••• L••
- T•••••• H••• P••••••• V•• L••• · Memberindirect · owns 50% to 75% of T•• A••••••• S••••••• S•••••••• L••
Related persons
Schedule D 7.A
- M••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,123 to 1,173Oct 21, 2025 to Feb 27, 2026
- HNW clients · 105 to 112Oct 21, 2025 to Feb 27, 2026
- Individual clients · 463 to 459Oct 21, 2025 to Feb 27, 2026
- Assets in custody · $140,330 to $212,553Oct 21, 2025 to Feb 27, 2026
- Discretionary RAUM · $330M to $394MOct 21, 2025 to Feb 27, 2026
- HNW RAUM · $205M to $244MOct 21, 2025 to Feb 27, 2026
- Individual RAUM · $123M to $148MOct 21, 2025 to Feb 27, 2026
- Pension RAUM · $2.3M to $1.8MOct 21, 2025 to Feb 27, 2026
- RAUM · $330M to $394MOct 21, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 0Mar 12, 2025 to Oct 21, 2025
- Accounts · 1,079 to 1,123Nov 6, 2024 to Mar 12, 2025
- HNW clients · 102 to 105Nov 6, 2024 to Mar 12, 2025
- Individual clients · 458 to 463Nov 6, 2024 to Mar 12, 2025
- Pension plan clients · 5.0 to unsetNov 6, 2024 to Mar 12, 2025
- Assets in custody · unset to 140330.0Nov 6, 2024 to Mar 12, 2025
- Custody of client assets · false to trueNov 6, 2024 to Mar 12, 2025
- Discretionary RAUM · $290M to $330MNov 6, 2024 to Mar 12, 2025
- HNW RAUM · $181M to $205MNov 6, 2024 to Mar 12, 2025
- Individual RAUM · $106M to $123MNov 6, 2024 to Mar 12, 2025
- Pension RAUM · $3.2M to $2.3MNov 6, 2024 to Mar 12, 2025
- RAUM · $290M to $330MNov 6, 2024 to Mar 12, 2025
- Accounts · 1,057 to 1,079Dec 1, 2023 to Mar 6, 2024
- HNW clients · 98 to 102Dec 1, 2023 to Mar 6, 2024
- Individual clients · 461 to 458Dec 1, 2023 to Mar 6, 2024
- Pension plan clients · 12 to 5Dec 1, 2023 to Mar 6, 2024
- Discretionary RAUM · $254M to $290MDec 1, 2023 to Mar 6, 2024
- HNW RAUM · $162M to $181MDec 1, 2023 to Mar 6, 2024
- Individual RAUM · $91.0M to $106MDec 1, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $23.2M to $0Dec 1, 2023 to Mar 6, 2024
- Pension RAUM · $24.8M to $3.2MDec 1, 2023 to Mar 6, 2024
- RAUM · $277M to $290MDec 1, 2023 to Mar 6, 2024
- Related insurance company · false to trueDec 1, 2023 to Mar 6, 2024
- Accounts · 954 to 1,057Mar 7, 2023 to Mar 29, 2023
- HNW clients · 102 to 98Mar 7, 2023 to Mar 29, 2023
- Individual clients · 433 to 461Mar 7, 2023 to Mar 29, 2023
- Pension plan clients · 7 to 12Mar 7, 2023 to Mar 29, 2023
- Employees · 6 to 5Mar 7, 2023 to Mar 29, 2023
- Discretionary RAUM · $257M to $254MMar 7, 2023 to Mar 29, 2023
- HNW RAUM · $158M to $162MMar 7, 2023 to Mar 29, 2023
- Individual RAUM · $96.5M to $91.0MMar 7, 2023 to Mar 29, 2023
Signals
4 dated events
- P•••••• J••••• B••• (Managing Member) no longer on Schedule A of M• W••••• A•••••••• L•• (listed 2023-12-01, absent 2024-03-06)Mar 6, 2024 · Control person left · inference
- I•••••••• A•••••••• L••'s advisors moved to M• W••••• A•••••••• L•• (Overland Park, KS): 3 of 3 registered, on the same dayNov 7, 2023 · Firm absorbed (people side) · derived
- Richard Anthony Moeller (Chief Compliance Officer) appeared on Schedule A of M• W••••• A•••••••• L••Feb 14, 2023 · Control person joined · fact
- M• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 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
- Business email
- info@mnwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jgreen@mnwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mlucero@mnwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-897-2074reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mn-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mnwealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-897-2074reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- mnwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mnwealthadvisors.com/our-teamreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026