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L••••• F•••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

L••••• F•••••••• G••••• L••

CRD 140599

SAINT LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 163
Dated events: 76
On other graphs: 0
Observed: Mar 29, 2012 to Mar 13, 2026
63 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderived••• Locked
Regulatory AUM: $5.5B••• Locked
Discretionary RAUM: $4.8B
Private client RAUM: $5.4Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 68
RAUM per advisor: $80.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• D•••••• L•••••	Certified Financial Planner	SAINT LOUIS, MO \| CHESTERFIELD, MO	19	25	4	yes
D•••• D••• A•••••••	n/a	SAINT LOUIS, MO \| FORT WAYNE, IN	16	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• F•••••••• H•••••••• L••	Owner	E	yes	12/2011	Mar 13, 2026	Mar 13, 2026
M•••••• R••••• S••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2019	Mar 13, 2026	Mar 13, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••• F•••••••• L••	n/a	Independent wealth	$1.7B	N	yes	n/a
L••••• C•••••• M••••••••• L••	n/a	Asset manager	$1.4B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. LOUIS	Mo	United States	5	no
Omaha	Ne	United States	4	no
FORT WAYNE	In	United States	3	yes
ST. LOUIS PARK	Mn	United States	3	yes
Lakeland	FL	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
7	6	1	8.8%	3	0	0	26	15

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.5B	$4.0B	35.9%	$2.3B	32.9%	131	115	20	18

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V••••• P••••••• W••••• A•••••••	3	Jan 2, 2018	Oct 14, 2019	FORT WAYNE, IN	Team lift out	Other	7.0%
V••••• P••••••• W••••• A•••••••	2	Jan 2, 2018	Nov 9, 2021

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••••••• T••••• I••••••••• A•••••••• L••	2	Feb 1, 2024	Jul 8, 2025	ELKHORN, NE	Team lift out	Other	100.0%
M•••••• W••••• M••••••••• I•••	3	Jul 1, 2022

Relationships

showing 80 of 163

Registered with (70)

← H••••• M••••• C••••Advisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← S••••• S•••• L•••••Advisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← J•••••• P•••••• K•••••••Advisorregistration: current employment
Aug 19, 2026 to presentfactForm ADV
← A••••• C•••••

Dated events

6 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
15 Jun 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
28 May 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
5 May 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Mar 2026
Ria office opened9 events
L••••• F•••••••• G••••• L••: ria office opened, 9 events, on 13 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
13 Mar 2026
Ria office closed3 events
L••••• F•••••••• G••••• L••: ria office closed, 3 events, on 13 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 13, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K••• E••••• W•••	n/a	Chesterfield, MO \| SAINT LOUIS, MO	14	17	n/a	yes
D•••• F••••••• L•••••••••	n/a	SAINT LOUIS, MO \| St. Charles, MO	13	13	n/a	yes
D•••••• A••• Y•••	n/a	JACKSONVILLE, FL \| SAINT LOUIS, MO	13	14	n/a	yes
N••• D••• K••••••	Certified Financial Planner	SAINT LOUIS, MO \| Rochester, MN	12	12	n/a	yes
A••••• T••••• B••••	n/a	SAINT LOUIS, MO \| FORT WAYNE, IN	11	11	n/a	yes
B•••••• J••••••• O•••	n/a	Greer, SC \| SAINT LOUIS, MO	11	11	n/a	yes
E••• P••	n/a	FORT WAYNE, IN \| SAINT LOUIS, MO	10	11	n/a	yes
K•••• J•••••• R•••••	Certified Financial Planner	Lakeland, FL \| SAINT LOUIS, MO	10	10	n/a	yes
B•••••• L•••• B•••••••	n/a	Woodstock, GA \| SAINT LOUIS, MO	9	15	1	no
K••• J•••• D•••••	Certified Financial Planner	SAINT LOUIS, MO \| Minneapolis, MN	9	10	n/a	yes
B•••• K•••••• P•••••••	Certified Financial Planner	SAINT LOUIS, MO \| Pittsburgh, PA	8	16	1	yes
J•••• C•••• F•••••	Certified Financial Planner	SAINT LOUIS, MO \| Lakeland, FL	8	12	n/a	yes
K•••••• D•••• S•••••••	n/a	CHESTERFIELD, MO \| SAINT LOUIS, MO	7	12	2	yes
M•••••• H••••••	Certified Financial Planner\|Chartered Financial Consultant	SAINT LOUIS, MO	6	16	6	yes
A••••• J•••• S•••••••••	n/a	SAINT LOUIS, MO \| Minneapolis, MN	6	10	n/a	yes

City	State	Country	Employees	Also broker-dealer
Jacksonville	FL	United States	1	yes
OVERLAND PARK	Ks	United States	1	yes
Rochester	Mn	United States	1	yes
Durham	Nc	United States	1	yes

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 31, 2016	$768M	$507M	153	55	n/a	n/a	n/a
2014	Mar 31, 2015	$623M	$389M	203	65	n/a	n/a	n/a
2013	Mar 31, 2014	$377M	$284M	150	50	n/a	n/a	n/a
2012	Mar 5, 2013	$202M	$161M	116	45	n/a	n/a	n/a
2011	Mar 29, 2012	$114M	$93.4M	n/a	n/a	n/a	n/a	n/a