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
S••••• V•••••• W••••• A••••••• L••
Latest filing Apr 21, 2026
First filing on the tape Dec 23, 2024 · 5 filings
SEC status approved since Jan 21, 2025
RAUM
$452M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
99%
$449M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$452M as of Apr 21, 2026
Mar 6, 2025$427M then
HNW client RAUM$387M as of Apr 21, 2026
Mar 6, 2025$361M then
State-registered IARs (5.B.3)4 as of Apr 21, 2026
Mar 6, 20255 then
Employees (5.A)5 as of Apr 21, 2026
Mar 6, 20255 then
Private funds: no history
RAUM +5.8% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Apr 21, 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
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $484,112derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $31.2M, 15 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$387M85%
- Individuals$62.5M14%
- Corporations and businesses$2.7M0.6%
- Charitable organizations$467,7890.1%
- Individual clients
- 169reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 934reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $31.2M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••• E••••••••• | Kansas City, Mo | Feb 24, 2025 | 22 y | 4 |
| R•• D•••• | Kansas City, Mo | Feb 24, 2025 | 18 y | 1 |
| T••••• K••• | Kansas City, Mo | Feb 24, 2025 | 11 y | 2 |
| P•••• V•••••• | Kansas City, Mo | Feb 24, 2025 | 32 y | 4 |
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
- P•••• V•••••• from W•••• F•••• A•••••••Feb 24, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• M•••• E••••••••• from W•••• F•••• A•••••••Feb 24, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•• D•••• from W•••• F•••• A•••••••Feb 24, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T••••• K••• from W•••• F•••• A•••••••Feb 24, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Mar 7, 2025 · Kansas City, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• R•• · Partnercontrolsince 02/2025 · owns 10% to 25%
- E••••••••• J••••••• M•••• · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- K•••• T••••• · Partnercontrolsince 02/2025 · owns 10% to 25%
- S•••••• J••••••• · Managing Partnercontrolsince 02/2025 · owns 25% to 50%
- V••••••• P•••• · Managing Partnercontrolsince 02/2025 · owns 25% to 50%
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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · 4 to 3Jan 30, 2026 to Apr 21, 2026
- HNW clients · 137 to 122Jan 30, 2026 to Apr 21, 2026
- Individual clients · 234 to 169Jan 30, 2026 to Apr 21, 2026
- Discretionary RAUM · $366M to $382MJan 30, 2026 to Apr 21, 2026
- HNW RAUM · $378M to $387MJan 30, 2026 to Apr 21, 2026
- Individual RAUM · $55.3M to $62.5MJan 30, 2026 to Apr 21, 2026
- Non-discretionary RAUM · $70.6M to $70.3MJan 30, 2026 to Apr 21, 2026
- RAUM · $436M to $452MJan 30, 2026 to Apr 21, 2026
- Accounts · 920 to 934Oct 31, 2025 to Jan 30, 2026
- Charity clients · 1 to 2Oct 31, 2025 to Jan 30, 2026
- Corporate clients · unset to 4.0Oct 31, 2025 to Jan 30, 2026
- HNW clients · 81 to 137Oct 31, 2025 to Jan 30, 2026
- Individual clients · 221 to 234Oct 31, 2025 to Jan 30, 2026
- Assets in custody · $8.5M to $31.2MOct 31, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 251-500Oct 31, 2025 to Jan 30, 2026
- Discretionary RAUM · $361M to $366MOct 31, 2025 to Jan 30, 2026
- HNW RAUM · $311M to $378MOct 31, 2025 to Jan 30, 2026
- Individual RAUM · $125M to $55.3MOct 31, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $74.7M to $70.6MOct 31, 2025 to Jan 30, 2026
- RAUM · $436M to $436MOct 31, 2025 to Jan 30, 2026
- Accounts · 879 to 920Mar 6, 2025 to Oct 31, 2025
- Advisory employees · 5 to 4Mar 6, 2025 to Oct 31, 2025
- Corporate clients · 2.0 to unsetMar 6, 2025 to Oct 31, 2025
- HNW clients · 119 to 81Mar 6, 2025 to Oct 31, 2025
- Individual clients · 168 to 221Mar 6, 2025 to Oct 31, 2025
- Assets in custody · $54.1M to $8.5MMar 6, 2025 to Oct 31, 2025
- Financial planning clients · 0 to 0Mar 6, 2025 to Oct 31, 2025
- State-registered IARs · 5 to 4Mar 6, 2025 to Oct 31, 2025
- Discretionary RAUM · $338M to $361MMar 6, 2025 to Oct 31, 2025
- HNW RAUM · $361M to $311MMar 6, 2025 to Oct 31, 2025
- Individual RAUM · $65.5M to $125MMar 6, 2025 to Oct 31, 2025
- Non-discretionary RAUM · $89.2M to $74.7MMar 6, 2025 to Oct 31, 2025
- RAUM · $427M to $436MMar 6, 2025 to Oct 31, 2025
- Accounts · 0 to 879Dec 23, 2024 to Mar 6, 2025
- Charity clients · unset to 1.0Dec 23, 2024 to Mar 6, 2025
- Corporate clients · unset to 2.0Dec 23, 2024 to Mar 6, 2025
- HNW clients · unset to 119.0Dec 23, 2024 to Mar 6, 2025
- Individual clients · unset to 168.0Dec 23, 2024 to Mar 6, 2025
- Assets in custody · unset to 54097967.0Dec 23, 2024 to Mar 6, 2025
- Custody of client assets · false to trueDec 23, 2024 to Mar 6, 2025
Signals
2 dated events
- 3 advisors left W•••• F•••• A••••••• (Kansas City, MO) for S••••• V•••••• W••••• A••••••• L•• on the same dayMar 7, 2025 · Team lift-out · derived
- S••••• V•••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Dec 23, 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 816-601-1150reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/91182388/admin/dashboardreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 816-601-1150reportedpublic record, Form ADV, Apr 21, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026