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

K•••••• K•••••• A•••••••• L••

Other adviserOverland Park, KansasCRD 335041SEC 801-132928IAPD
Latest filing Aug 11, 2026
First filing on the tape May 9, 2025 · 4 filings
SEC status approved since Jun 5, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$29.2M
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$117M as of Aug 11, 2026
May 9, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 11, 2026
May 9, 20251 then
Employees (5.A)2 as of Aug 11, 2026
May 9, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
RAUM per advisor
$29.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$117MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 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
NameBranchHere sinceIn industryPrior firms
E••• R• B••••Overland Park, KsJun 9, 202512 y0
C••••• E••••• H•••••Overland Park, KsJun 11, 202616 y0
J••• W•••••• K•••••••Overland Park, KsJun 11, 202610 y0
K••• A••••• B•••••Overland Park, KsJun 25, 202614 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• C•••••••• M••••••• · LLC Manager / LLC Membercontrol
        since 01/2025 · owns 25% to 50%
      • K•••••••• J•••• W•••••• · LLC Manager / LLC Membercontrol
        since 01/2025 · owns 25% to 50%
      • S••••••• S••••• E•••••••• · LLC Manager / LLC Membercontrol
        since 01/2025 · owns 25% to 50%
      • S••••••••• A•••• K•••• · LLC Manager / LLC Member / Ceo / Ccocontrol
        since 01/2025 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Overland Park, Ks · principal430
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Aug 11, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $100M to $500M (212) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Assets in custody · 1.0 to unset
        Sep 30, 2025 to Mar 29, 2026
      • Custody of client assets · true to false
        Sep 30, 2025 to Mar 29, 2026
      • Non-discretionary RAUM · $115M to $117M
        Sep 30, 2025 to Mar 29, 2026
      • RAUM · $115M to $117M
        Sep 30, 2025 to Mar 29, 2026
      • Accounts · 0 to 1
        May 9, 2025 to Sep 30, 2025
      • Non-discretionary RAUM · $0 to $115M
        May 9, 2025 to Sep 30, 2025
      • RAUM · $0 to $115M
        May 9, 2025 to Sep 30, 2025
      Signals
      No event on the tape.
      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
      Principal office phone
      913-381-4044reportedpublic record, Form ADV, Aug 11, 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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $29.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026