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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••••• P••••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Nov 26, 2024 · 4 filings
SEC status approved since Jan 8, 2025
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$194M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$145M
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
4 filings and snapshots on the tape
RAUM$290M as of Apr 28, 2026
Jan 9, 2025$153M then
HNW client RAUM$120M as of Apr 28, 2026
Jan 9, 2025$95.0M then
State-registered IARs (5.B.3)2 as of Apr 28, 2026
Jan 9, 20251 then
Employees (5.A)2 as of Apr 28, 2026
Jan 9, 20252 then
Private funds: no history
RAUM +90% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Apr 28, 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
- 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
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +90%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$120M41%
- Corporations and businesses$96.0M33%
- Individuals$74.0M26%
- Individual clients
- 155reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 253reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• R•••• W•••• · Ccocontrolsince 02/2024 · owns 75% or more
Related persons
Schedule D 7.A
- N••• G••••••••• I••••••••• L••investment advisernRAUM $128M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lawrence, Ks · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 28, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $153,000,000 to $290,000,000, advisors 1 to 2, private clients 225 to 245, offices 0 to 0 (2025-01-09 to 2026-04-28)peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Apr 28, 2026private-client share of RAUM moved from 99.0% to 67.0% between the annual amendments of 2025-01-09 and 2026-04-28peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 28, 2026institutional share of RAUM moved from 1.0% to 33.0% between the annual amendments of 2025-01-09 and 2026-04-28peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 28, 2026HNW share of RAUM moved from 62.0% to 41.0% between the annual amendments of 2025-01-09 and 2026-04-28peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $153,000,000 to $290,000,000 (+90.0%) between the annual amendments of 2025-01-09 and 2026-04-28; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 225 to 253Jan 9, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Jan 9, 2025 to Mar 31, 2026
- Advisory activities · 5 to 6Jan 9, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Jan 9, 2025 to Mar 31, 2026
- HNW clients · 80 to 90Jan 9, 2025 to Mar 31, 2026
- Individual clients · 145 to 155Jan 9, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 101-250Jan 9, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 2Jan 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $153M to $290MJan 9, 2025 to Mar 31, 2026
- HNW RAUM · $95.0M to $120MJan 9, 2025 to Mar 31, 2026
- Individual RAUM · $57.0M to $74.0MJan 9, 2025 to Mar 31, 2026
- RAUM · $153M to $290MJan 9, 2025 to Mar 31, 2026
- Accounts · 208 to 225Nov 26, 2024 to Jan 9, 2025
- Individual clients · 128 to 145Nov 26, 2024 to Jan 9, 2025
- Financial planning clients · 0 to 0Nov 26, 2024 to Jan 9, 2025
- Discretionary RAUM · $135M to $153MNov 26, 2024 to Jan 9, 2025
- HNW RAUM · $91.0M to $95.0MNov 26, 2024 to Jan 9, 2025
- Individual RAUM · $43.0M to $57.0MNov 26, 2024 to Jan 9, 2025
- RAUM · $135M to $153MNov 26, 2024 to Jan 9, 2025
Signals
2 dated events
- R••••••••• P••••••••• L•• reported RAUM $290.0M, up 90% from $153.0M (2025-01-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- R••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 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 phone
- 785-330-9292reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 785-330-9293reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- KansasRetirementTeam.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 785-330-9292reportedpublic record, Form ADV, Apr 28, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026