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
H••••••• A•••• M••••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Sep 7, 2022 · 14 filings
SEC status approved since Oct 7, 2022
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$153M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$155M as of Jan 29, 2026
Jan 31, 2023$75.4M then
HNW client RAUM$65.0M as of Jan 29, 2026
Jan 31, 2023$18.9M then
State-registered IARs (5.B.3)2 as of Jan 29, 2026
Jan 31, 20232 then
Employees (5.A)2 as of Jan 29, 2026
Jan 31, 20232 then
Private funds: no history
RAUM +19% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 373derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $119,876derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$88.2M57%
- High-net-worth individuals$65.0M42%
- Charitable organizations$1.8M1.2%
- Individual clients
- 691reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,293reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••• T••••••• | Belton, Mo | Oct 18, 2022 | 24 y | 2 |
| D••••• A••••• J•••••• | Belton, Mo | Oct 18, 2022 | 17 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
- D•••• W•••• T••••••• from C••••• A••••••• L••Oct 18, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• A••••• J•••••• from C••••• A••••••• L••Oct 18, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A••••••• L••Oct 19, 2022 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• D••••• W•••• · Managing Member/Ccocontrolsince 09/2022 · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• F•••••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Belton, Mo · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Jan 29, 2026accounts (Item 5.F.2.f) moved from 705.0 to 1,293.0 (+83.0%) between the annual amendments of 2025-01-31 and 2026-01-29; the peer median change was +5.0% (3686 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 705 to 1,293Oct 17, 2025 to Jan 29, 2026
- HNW clients · 25 to 55Oct 17, 2025 to Jan 29, 2026
- Individual clients · 677 to 691Oct 17, 2025 to Jan 29, 2026
- Discretionary RAUM · $130M to $155MOct 17, 2025 to Jan 29, 2026
- HNW RAUM · $35.3M to $65.0MOct 17, 2025 to Jan 29, 2026
- Individual RAUM · $93.0M to $88.2MOct 17, 2025 to Jan 29, 2026
- RAUM · $130M to $155MOct 17, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Jul 15, 2025 to Oct 17, 2025
- Accounts · 1,103 to 705Nov 13, 2024 to Jan 31, 2025
- HNW clients · 18 to 25Nov 13, 2024 to Jan 31, 2025
- Individual clients · 708 to 677Nov 13, 2024 to Jan 31, 2025
- Discretionary RAUM · $115M to $130MNov 13, 2024 to Jan 31, 2025
- HNW RAUM · $28.6M to $35.3MNov 13, 2024 to Jan 31, 2025
- Individual RAUM · $84.8M to $93.0MNov 13, 2024 to Jan 31, 2025
- RAUM · $115M to $130MNov 13, 2024 to Jan 31, 2025
- Accounts · 1,094 to 1,103Mar 25, 2024 to Apr 9, 2024
- HNW clients · 14 to 18Mar 25, 2024 to Apr 9, 2024
- Individual clients · 628 to 708Mar 25, 2024 to Apr 9, 2024
- Discretionary RAUM · $106M to $115MMar 25, 2024 to Apr 9, 2024
- HNW RAUM · $23.7M to $28.6MMar 25, 2024 to Apr 9, 2024
- Individual RAUM · $80.6M to $84.8MMar 25, 2024 to Apr 9, 2024
- RAUM · $106M to $115MMar 25, 2024 to Apr 9, 2024
- Accounts · 1,081 to 1,094Jun 30, 2023 to Jan 11, 2024
- Charity clients · 2 to 3Jun 30, 2023 to Jan 11, 2024
- HNW clients · 18 to 14Jun 30, 2023 to Jan 11, 2024
- Individual clients · 697 to 628Jun 30, 2023 to Jan 11, 2024
- Discretionary RAUM · $100M to $106MJun 30, 2023 to Jan 11, 2024
- HNW RAUM · $31.5M to $23.7MJun 30, 2023 to Jan 11, 2024
- Individual RAUM · $67.0M to $80.6MJun 30, 2023 to Jan 11, 2024
- RAUM · $100M to $106MJun 30, 2023 to Jan 11, 2024
- Accounts · 747 to 1,081Jan 31, 2023 to Jun 23, 2023
- Advisory activities · 3 to 4Jan 31, 2023 to Jun 23, 2023
- Charity clients · 1 to 2Jan 31, 2023 to Jun 23, 2023
- HNW clients · 10 to 18Jan 31, 2023 to Jun 23, 2023
- Individual clients · 471 to 697Jan 31, 2023 to Jun 23, 2023
- Financial planning clients · unset to 0Jan 31, 2023 to Jun 23, 2023
- Discretionary RAUM · $75.4M to $100MJan 31, 2023 to Jun 23, 2023
- HNW RAUM · $18.9M to $31.5MJan 31, 2023 to Jun 23, 2023
- Individual RAUM · $55.1M to $67.0MJan 31, 2023 to Jun 23, 2023
- RAUM · $75.4M to $100MJan 31, 2023 to Jun 23, 2023
Signals
2 dated events
- 2 advisors left C••••• A••••••• L•• (Overland Park, KS) for H••••••• A•••• M••••••••• L•• a day apartOct 19, 2022 · Team lift-out · derived
- H••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 7, 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
- a•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 816-348-2062reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 816-348-2060reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 816-348-2061reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 816-348-2060reportedpublic record, Form ADV, Jan 29, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $77.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026