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

P•••••• W••••• C••••••••• L••

Independent wealth managerCRD 336590SEC 801-135001websiteIAPD
Latest filing May 11, 2026
First filing on the tape Jul 10, 2025 · 5 filings
SEC status approved since Jan 7, 2026
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$204M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$64.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$259M as of May 11, 2026
Jul 10, 2025$0 then
HNW client RAUM$169M as of May 11, 2026
Apr 8, 2026$169M then
State-registered IARs (5.B.3)4 as of May 11, 2026
Jul 10, 20254 then
Employees (5.A)4 as of May 11, 2026
Jul 10, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 11, 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
RAUM per advisor
$64.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$861,594derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.6derived7 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
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$169M65%
  • Charitable organizations$50.2M19%
  • Individuals$35.0M14%
  • Corporations and businesses$4.7M1.8%
Individual clients
95reported
HNW clients
45reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
301reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.79 fund_share=0.0 institutional_share=0.19 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
H••••••• M•••••• H••••Kansas City, MoMar 20, 202610 y1
A•• L•••• M•••••••••Beverly Hills, Mi Mar 20, 202630 y1
C••••••••• C• N•••••Kansas City, Mo Mar 23, 202613 y1
D••••• W•••• H••••Kansas City, MoMar 23, 202632 y3
Advisor movement
0 left, 4 joined in 12 months
net +4 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• D•••••• W•••• · Managing Membercontrol
        since 04/2025 · owns 25% to 50%
      • M••••••••• A••• L•••• · Membercontrol
        since 04/2025 · owns 25% to 50%
      • N•••••• C••••••••• C• · Membercontrol
        since 04/2025 · 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
      Kansas City, Mo440
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 301
        Dec 10, 2025 to Apr 8, 2026
      • Charity clients · unset to 2.0
        Dec 10, 2025 to Apr 8, 2026
      • Corporate clients · unset to 1.0
        Dec 10, 2025 to Apr 8, 2026
      • HNW clients · unset to 45.0
        Dec 10, 2025 to Apr 8, 2026
      • Individual clients · unset to 95.0
        Dec 10, 2025 to Apr 8, 2026
      • Discretionary RAUM · $0 to $259M
        Dec 10, 2025 to Apr 8, 2026
      • HNW RAUM · unset to 169376754.0
        Dec 10, 2025 to Apr 8, 2026
      • Individual RAUM · unset to 35034422.0
        Dec 10, 2025 to Apr 8, 2026
      • RAUM · $0 to $259M
        Dec 10, 2025 to Apr 8, 2026
      • Financial planning clients · 0 to 0
        Aug 26, 2025 to Dec 10, 2025
      • Other offices · 2 to 6
        Aug 26, 2025 to Dec 10, 2025
      Signals
      3 dated events
      • 2 advisors left S••••••• W••••• M••••••••• L•• (Purchase, NY) for P•••••• W••••• C••••••••• L•• on the same day
        Jul 23, 2026 · Team lift-out · derived
      • 2 advisors left S••••••• W••••• M••••••••• L•• (Kansas City, MO) for P•••••• W••••• C••••••••• L•• on the same day
        Jul 23, 2026 · Team lift-out · derived
      • P•••••• W••••• C••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02)
        Dec 20, 2025 · Left the SEC roster · derived
      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••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      d••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
      Website
      p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      (816) 888-9888reportedpublic record, Form ADV, May 11, 2026
      Team page
      p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
      $64.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026