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.
SEC-registered adviser
Pandi, LLC
Latest filing Aug 26, 2026
First filing on the tape Jul 30, 2024 · 8 filings
SEC status approved since Sep 5, 2024
RAUM
$1.4B
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
32%
$440M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$276M
derived; firm RAUM over IAPD count
Employees
20
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.4B as of Aug 26, 2026
Jan 15, 2025$2.0B then
HNW client RAUM$440M as of Aug 26, 2026
Jan 15, 2025$545M then
State-registered IARs (5.B.3)3 as of Aug 26, 2026
Jan 15, 20250 then
Employees (5.A)20 as of Aug 26, 2026
Jan 15, 202513 then
Private funds: no history
RAUM -32% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $276MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $55.0MderivedHNW RAUM over HNW clients
- Average account
- $12.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 49%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $927M, 12 clientsreportedItem 9.A
- 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)
- 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
- Charitable organizations$668M49%
- High-net-worth individuals$440M32%
- Corporations and businesses$269M20%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 115reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $927M for 12 clientsreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.32 fund_share=0.0 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Gene FergusonChartered Financial Analyst | Kansas City, Mo | Jan 29, 2025 | 15 y | 1 |
| Robert Fitzpatrick Horn | Kansas City, Mo | Dec 5, 2025 | 10 y | 0 |
| Sean Michael Kuehl | Kansas City, Mo | Feb 18, 2026 | 11 y | 0 |
| Jake Ryan Blum | Kansas City, Mo | May 1, 2026 | 10 y | 0 |
| Michael Austin Emley | Kansas City, Mo | Aug 31, 2026 | 12 y | 0 |
| Carlie Elizabeth Malone | Kansas City, Mo | Sep 16, 2026 | 12 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
- Matthew Gene Ferguson from George K. Baum Advisors LLCJan 29, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mcgannon Maureen Evans · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Gene Matthew Ferguson · Chief Executive Officer/Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- Elizabeth Lauren Heyen · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Antonio Dante Roldan · Chief Compliance Officer, General Counselcontrolsince 02/2025 · owns less than 5%
- Patterson Cortney Barton · Trusteecontrolsince 09/2023 · owns F of Cortney Patterson Barton Revocable Trust
- Wayne Clifford Illig · Trusteecontrolsince 09/2023 · owns F of Clifford W. Illig Revocable Trust
- Allen Clay Patterson · Trusteecontrolsince 09/2023 · owns F of Clay Allen Patterson Revocable Trust
- O'Neal William Patterson · Trusteecontrolsince 09/2023 · owns F of Will O'Neal Patterson Revocable Trust
- Patterson Lindsey Smith · Trusteecontrolsince 09/2023 · owns F of Lindsey Patterson Smith Revocable Trust
Entity owners
- Excolo, LLC · Memberdirect · owns 50% to 75%
- Tifec, LLC · Memberdirect · owns 50% to 75%
- Clay Allen Patterson Revocable Trust · Memberindirect · owns 25% to 50% of Excolo, LLC
- Clifford W. Illig Revocable Trust · Memberindirect · owns 75% or more of Tifec, LLC
- Cortney Patterson Barton Revocable Trust · Memberindirect · owns 25% to 50% of Excolo, LLC
- Lindsey Patterson Smith Revocable Trust · Memberindirect · owns 25% to 50% of Excolo, LLC
- Will O'Neal Patterson Revocable Trust · Memberindirect · owns 25% to 50% of Excolo, LLC
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 |
|---|---|---|---|---|---|
| Kansas City, Mo · principal | 6 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Aug 26, 2026employees per registered advisor of 4.0 against a peer median of 1.5 (1100 comparable advisers, 98.0th percentile, 5.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,100) · 98% percentile
- control person changedChange between filings · filing Aug 26, 2026ROLDAN, DANTE, ANTONIO (CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL) appeared on Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026ILLIG, CLIFFORD, WAYNE (TRUSTEE) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026PATTERSON, WILLIAM, O'NEAL (TRUSTEE) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026BARTON, CORTNEY, PATTERSON (TRUSTEE) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026PATTERSON, CLAY, ALLEN (TRUSTEE) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026SMITH, LINDSEY, PATTERSON (TRUSTEE) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026EVANS, MAUREEN, MCGANNON (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-07-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 73.0% to 49.0% between the annual amendments of 2025-03-26 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
- RAUM down 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $2,039,599,738 to $1,377,568,744 (-32.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was +17.0% (1297 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 0.5% percentile
What changed
consecutive filings, newest first
- Accounts · 143 to 115May 22, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7May 22, 2025 to Mar 26, 2026
- Corporate clients · unset to 9.0May 22, 2025 to Mar 26, 2026
- HNW clients · 6 to 8May 22, 2025 to Mar 26, 2026
- Assets in custody · $23.1M to $927MMay 22, 2025 to Mar 26, 2026
- Employees · 14 to 20May 22, 2025 to Mar 26, 2026
- State-registered IARs · 0 to 3May 22, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.5B to $681MMay 22, 2025 to Mar 26, 2026
- HNW RAUM · $545M to $440MMay 22, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $557M to $696MMay 22, 2025 to Mar 26, 2026
- RAUM · $2.0B to $1.4BMay 22, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Mar 26, 2025 to May 22, 2025
- HQ city · LEAWOOD to KANSAS CITYMar 26, 2025 to May 22, 2025
- HQ state · KS to MOMar 26, 2025 to May 22, 2025
- Accounts · 145 to 143Jan 15, 2025 to Mar 26, 2025
- Assets in custody · $2.5M to $23.1MJan 15, 2025 to Mar 26, 2025
- Employees · 13 to 14Jan 15, 2025 to Mar 26, 2025
- Discretionary RAUM · $0 to $1.5BJan 15, 2025 to Mar 26, 2025
- HNW RAUM · $545M to $545MJan 15, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $2.0B to $557MJan 15, 2025 to Mar 26, 2025
- RAUM · $2.0B to $2.0BJan 15, 2025 to Mar 26, 2025
- Accounts · unset to 145.0Jul 31, 2024 to Dec 26, 2024
- HNW clients · unset to 6.0Jul 31, 2024 to Dec 26, 2024
- Assets in custody · unset to 2548053.0Jul 31, 2024 to Dec 26, 2024
- Custody of client assets · false to trueJul 31, 2024 to Dec 26, 2024
- Employees · 11 to 13Jul 31, 2024 to Dec 26, 2024
- Financial planning clients · 0 to 11-25Jul 31, 2024 to Dec 26, 2024
- Discretionary RAUM · unset to 0.0Jul 31, 2024 to Dec 26, 2024
- HNW RAUM · unset to 545146228.0Jul 31, 2024 to Dec 26, 2024
- Non-discretionary RAUM · unset to 2014265251.0Jul 31, 2024 to Dec 26, 2024
- RAUM · unset to 2014265251.0Jul 31, 2024 to Dec 26, 2024
Signals
3 dated events
- Carlie Elizabeth Malone registered as an investment adviser representative at Pandi, LlcSep 16, 2026 · Advisor registered · fact
- Pandi, Llc reported RAUM $1.4B, down 32% from $2.0B (2025-05-22 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Pandi, Llc filed its initial SEC registration (Form ADV)Jul 30, 2024 · 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@pandikc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/pandikcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pandikc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-437-9900reportedpublic record, Form ADV, Aug 26, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $276Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026