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.
Former SEC-registered adviser
Sunset Financial Services, Inc.
Latest filing Sep 28, 2015
First filing on the tape Nov 7, 2011 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$74.9M as of Mar 28, 2014
Mar 28, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2015
Mar 28, 20120 then
Employees (5.A)3 as of Mar 30, 2015
Mar 28, 2013318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 90 to 2
Practice profile
derived from the filing of Sep 28, 2015; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -98%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
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
- n/areported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Christopher Bor to Securities America Advisors, Inc.Dec 31, 2014 · Other
- Ryan Charles Beasley to Securities America Advisors, Inc.Dec 31, 2014 · Other
- Dustin Meza to Waddell & ReedDec 3, 2014 · Other
- Stephen Morrell Foster to Securities America Advisors, Inc.Dec 3, 2014 · Other
- Steve Floyd Mankameyer to Regal Investment Advisors LLCNov 14, 2014 · Other
- Richard Homer Brown to Oneamerica Securities, Inc.Oct 31, 2014 · Other
- Karin Marrs Rettger to Cambridge Investment Research Advisors, Inc.Oct 30, 2014 · Other
- Sarah Jean Dory to Woodbury Financial Services, Inc.Oct 20, 2014 · Other
- Richard Douglas Smidt to Edward JonesOct 1, 2014 · Other
- Larry Dean Freie to Ameritas Advisory ServicesMar 3, 2014 · Other
- Richard Joe Johannsen to Strategic Financial Partners, LtdAug 7, 2013 · Other
- Kelly Jeanne Hokanson to The Planned ApproachApr 12, 2013 · Other
- Stephanie Lyn Guerin to The Planned ApproachApr 12, 2013 · Other
- David Wayne Verhille to Private Advisor Group, LLCMar 1, 2013 · Other
- Mark Alan Vosika to Creativeone Securities, LLCDec 31, 2012 · Other
Joined, latest
- Christopher Bor from MML Investors Services, LLCJul 12, 2013 · Other
- Robert Marc Greco from Hornor, Townsend & Kent, LLCOct 24, 2012 · Other
- Mark Alan Vosika from Securities America Advisors, Inc.Jan 3, 2012 · Other
- Lisa Marie Gabriel from Kavar Capital Partners, LLCNov 14, 2011 · Other
- Ronald Wayne Klenke from Cambridge Investment Research Advisors, Inc.Nov 10, 2011 · Other
- Kelly Lynn Stonebarger from Cambridge Investment Research Advisors, Inc.Nov 1, 2011 · Other
- Thomas Robert Reed from Cambridge Investment Research Advisors, Inc.Oct 31, 2011 · Other
- Andrew Michael Shenberg from Cambridge Investment Research Advisors, Inc.Oct 31, 2011 · Other
- Michael R Brown from Cambridge Investment Research Advisors, Inc.Oct 31, 2011 · Other
- Jeff Ryan Locker from Cambridge Investment Research Advisors, Inc.Oct 31, 2011 · Other
- Kyle Lewis Goepel from Cambridge Investment Research Advisors, Inc.Oct 31, 2011 · Other
- Kevin William Campbell from U.S. Bancorp Asset Management, Inc.Aug 11, 2011 · Other
- Robert James Douglass from Securities America Advisors, Inc.Aug 8, 2011 · Other
- David Michael Suchland from Manning & Napier Advisory Advantage Company, LLCJan 12, 2011 · Other
- Matt Schommer from Ameriprise Financial Services, LLCJan 11, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Philip Bixby · Directorcontrolsince 03/1998 · owns less than 5%
- Walter Edwin III Bixby · Directorcontrolsince 10/1995 · owns less than 5%
- Tracy Wayne Knapp · Directorcontrolsince 10/2013 · owns less than 5%
- Donald Eugene Krebs · Directorcontrolsince 04/2001 · owns less than 5%
- Alan Craig Jr Mason · Secretary, Directorcontrolsince 01/2008 · owns less than 5%
- Mark Alan Milton · Directorcontrolsince 04/2010 · owns less than 5%
- Janice Lee Brandt · Assistant Vice President - Interim Chief Compliance Officer Broker/Dealersince 04/2012 · owns less than 5%
- Susanna Jayne Denney · Vice President - Chief Operations Officer, Ria Chief Compliance Officersince 08/2005 · owns less than 5%
- David Arnold Laird · Treasurersince 12/2007 · owns less than 5%
- Eric Ronald Traczyk · Finopsince 06/2013 · owns less than 5%
- Kelly Todd Ullom · Vice President - Executive Officersince 04/2012 · owns less than 5%
Entity owners
- Kansas City Life Insurance Company, Inc. · Parent Company - Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 458.0 to unsetDec 19, 2014 to Mar 30, 2015
- Advisory employees · 90 to 2Dec 19, 2014 to Mar 30, 2015
- Advisory activities · 5 to 1Dec 19, 2014 to Mar 30, 2015
- BD registered reps · 90 to 3Dec 19, 2014 to Mar 30, 2015
- Commission compensation · true to falseDec 19, 2014 to Mar 30, 2015
- Employees · 90 to 3Dec 19, 2014 to Mar 30, 2015
- State-registered IARs · 90 to 2Dec 19, 2014 to Mar 30, 2015
- Discretionary RAUM · 0.0 to unsetDec 19, 2014 to Mar 30, 2015
- Non-discretionary RAUM · 74916861.0 to unsetDec 19, 2014 to Mar 30, 2015
- RAUM · 74916861.0 to unsetDec 19, 2014 to Mar 30, 2015
- Accounts · 347 to 458Nov 26, 2013 to Mar 28, 2014
- Advisory employees · 99 to 90Nov 26, 2013 to Mar 28, 2014
- BD registered reps · 318 to 90Nov 26, 2013 to Mar 28, 2014
- Employees · 318 to 90Nov 26, 2013 to Mar 28, 2014
- Financial planning clients · 101-250 to 51-100Nov 26, 2013 to Mar 28, 2014
- State-registered IARs · 99 to 90Nov 26, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $56.9M to $74.9MNov 26, 2013 to Mar 28, 2014
- RAUM · $56.9M to $74.9MNov 26, 2013 to Mar 28, 2014
- Accounts · 839 to 347Mar 5, 2013 to Mar 28, 2013
- Advisory employees · 125 to 99Mar 5, 2013 to Mar 28, 2013
- BD registered reps · 475 to 318Mar 5, 2013 to Mar 28, 2013
- Employees · 475 to 318Mar 5, 2013 to Mar 28, 2013
- State-registered IARs · 125 to 99Mar 5, 2013 to Mar 28, 2013
- Discretionary RAUM · $4.2M to $0Mar 5, 2013 to Mar 28, 2013
- Non-discretionary RAUM · $100M to $56.9MMar 5, 2013 to Mar 28, 2013
- RAUM · $105M to $56.9MMar 5, 2013 to Mar 28, 2013
- Advisory employees · unset to 125.0Oct 25, 2012 to Mar 5, 2013
- BD registered reps · unset to 475.0Oct 25, 2012 to Mar 5, 2013
- Employees · unset to 475.0Oct 25, 2012 to Mar 5, 2013
- State-registered IARs · 0 to 125Oct 25, 2012 to Mar 5, 2013
- Accounts · 279 to 839Nov 7, 2011 to Mar 28, 2012
- Advisory activities · 4 to 5Nov 7, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 0.0Nov 7, 2011 to Mar 28, 2012
- Discretionary RAUM · $7.5M to $4.2MNov 7, 2011 to Mar 28, 2012
- Non-discretionary RAUM · $42.9M to $100MNov 7, 2011 to Mar 28, 2012
- RAUM · $50.4M to $105MNov 7, 2011 to Mar 28, 2012
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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026