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CRD 110377
LAKE ST. LOUIS, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• M•••••• H••• | Chartered Financial Consultant | LAKE ST. LOUIS, MO | 30 | 44 | n/a | yes |
| B•••• J•••• B•••• | n/a | PORTAGE, IN | 25 | 30 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••• B••••••• W•••• | CHIEF INFORMATION OFFICER | Na | yes | 02/2016 | Jul 13, 2026 | Jul 13, 2026 |
| H•••• D••••• M•••••• | CHIEF EXECUTIVE OFFICER/PRESIDENT OFFICER | E | yes | 03/1993 | Jul 13, 2026 | Jul 13, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| E•••• P•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| F•••• H•••••••• C••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Valparaiso | In | United States | 3 | yes |
| Newaygo | Mi | United States | 3 | yes |
| Edison | Nj | United States | 3 | yes |
| Hillsborough | Nj | United States | 3 | yes |
| Spartanburg | Sc | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 7 | 4 | 3 | 4.2% | 2 | 1 | 0 | 13 | 13 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.1B | $1.8B | 17.8% | $1.5B | 12.5% | 96 | 92 | 71 | 68 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 3 | Oct 8, 2024 | Oct 9, 2024 | SPARTANBURG, SC | Team lift out | Ibd to ibd | 3.3% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Aug 12, 2024 | Aug 12, 2024 |
| yes |
| J•• C••••••••• L•••• | n/a | PORTAGE, IN | 25 | 28 | n/a | yes |
| D•••• W••••• P•••• | n/a | SAN MATEO, CA | 24 | 46 | n/a | yes |
| D••••••• E••••• S••••••• | n/a | SAN MATEO, CA | 24 | 26 | n/a | yes |
| D••••• J•••• S••••••• | n/a | VALPARAISO, IN | 24 | 44 | 1 | yes |
| T••• L•• T••••••• | Certified Financial Planner | BOONE, IA | 23 | 37 | 2 | yes |
| B•••• R••••••• S••••• | n/a | CARMEL, IN | 23 | 25 | 1 | yes |
| D•••• W••••• P••••• | Certified Financial Planner | GREENVILLE, NC | 22 | 33 | n/a | yes |
| D•••• J••• S••••••••• | n/a | BAYSIDE, WI | 22 | 39 | n/a | yes |
| D••••• J•• M•••• | Certified Financial Planner | INDIANAPOLIS, IN | 22 | 39 | 1 | yes |
| A••••• M••••• N•••••• | n/a | MARYLAND HEIGHTS, MO | LAKE ST. LOUIS, MO | 20 | 42 | 1 | yes |
| C••••• E•••••••• B•••••• | n/a | HARDIN, IL | 20 | 34 | 1 | yes |
| C•••• T•••••• H•••• | n/a | SIOUX FALLS, SD | 19 | 26 | 1 | yes |
| D••• J••• J••••••• | n/a | WAVERLY, IA | 19 | 23 | n/a | yes |
| J•••• H••••••• C•••• | Certified Financial Planner | CLIVE, IA | 19 | 34 | 1 | yes |
| T••• A•••• C••••••••• | Certified Financial Planner | CLIVE, IA | 19 | 34 | 1 | yes |
| J••••• A•• J•••• | n/a | LAKE SAINT LOUIS, MO | 19 | 21 | n/a | yes |
| J•• D•••• H••••••• | n/a | NEWAYGO, MI | TRENTON, MI | ANN ARBOR, MI | 18 | 19 | n/a | yes |
| D•••• E••••• B•••••• | n/a | VALPARAISO, IN | 17 | 20 | n/a | yes |
| C••• D••••••• D••••• | n/a | KALAMAZOO, MI | 16 | 18 | n/a | yes |
| A••••••• W•••••• A••• | n/a | POWELL, OH | 16 | 26 | 1 | yes |
| T••• M•••• S••• | n/a | PARKERSBURG, WV | 16 | 27 | 4 | yes |
| P••• D••• J•••••• | Certified Financial Planner|Chartered Financial Consultant | Loveland, CO | 16 | 34 | 2 | yes |
| Z••••• M•••• C•••••• | n/a | LAKE ST. LOUIS, MO | 16 | 26 | n/a | yes |
| CHIEF OPERATING OFFICER |
| Na |
| yes |
| 01/2020 |
| Jul 13, 2026 |
| Jul 13, 2026 |
| J••••• J•••••• A•• | CHIEF LEGAL OFFICER | Na | yes | 11/2006 | Jul 13, 2026 | Jul 13, 2026 |
| C••••••• Z•••••• M•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2004 | Mar 23, 2012 | Mar 20, 2024 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| yes |
| LITTLE ROCK | Ar | United States | 2 | yes |
| Tuscon | Az | United States | 2 | yes |
| SAN MATEO | CA | United States | 2 | yes |
| Clive | Ia | United States | 2 | no |
| Portage | In | United States | 2 | yes |
| Grandville | Mi | United States | 2 | yes |
| SAINT CHARLES | Mo | United States | 2 | yes |
| Springfield | Mo | United States | 2 | yes |
| Londonderry | Nh | United States | 2 | yes |
| Albuquerque | Nm | United States | 2 | yes |
| Chambersburg | Pa | United States | 2 | yes |
| Memphis | Tn | United States | 2 | yes |
| Boerne | TX | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| ANN ARBOR | Mi | United States | 1 | yes |
| Portland | Mi | United States | 1 | yes |
| Northfield | Mn | United States | 1 | yes |
| Rochester | Mn | United States | 1 | yes |
| Medford | Or | United States | 1 | yes |
| Mar 17, 2026 |
| $2.1B |
| $1.9B |
| 96 |
| 88 |
| 71 |
| n/a |
| n/a |
| 2024 | Feb 26, 2025 | $1.8B | $1.6B | 92 | 83 | 68 | n/a | n/a |
| 2023 | Mar 20, 2024 | $1.7B | $1.5B | 104 | 95 | 77 | n/a | n/a |
| 2022 | Mar 16, 2023 | $1.5B | $1.3B | 105 | 94 | 78 | n/a | n/a |
| 2021 | Mar 29, 2022 | $1.7B | $1.4B | 102 | 91 | 78 | n/a | n/a |
| 2020 | Mar 29, 2021 | $1.5B | $1.2B | 107 | 99 | 87 | n/a | n/a |
| 2019 | Mar 20, 2020 | $1.5B | $1.3B | 113 | 104 | 82 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.2B | $864M | 106 | 98 | 86 | n/a | n/a |
| 2017 | Mar 19, 2018 | $2.1B | $1.1B | 122 | 116 | 91 | n/a | n/a |
| 2016 | Mar 28, 2017 | $1.3B | $1.0B | 127 | 119 | n/a | n/a | n/a |
| 2015 | Mar 10, 2016 | $1.0B | $857M | 112 | 106 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $953M | $795M | 103 | 94 | n/a | n/a | n/a |
| 2013 | Mar 14, 2014 | $868M | $712M | 102 | 99 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $710M | $710M | 110 | 105 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $645M | $645M | n/a | n/a | n/a | n/a | n/a |
| MEMPHIS, TN |
| Team lift out |
| Ibd to ibd |
| 2.2% |
| R•• F••••• W••••• A•••••••• L•• | 2 | Jan 23, 2023 | Sep 18, 2023 | CAMARILLO, CA | Team lift out | Ibd to RIA | 2.2% |
| W••••••• F•••••••• S•••••••• I••• | 2 | Sep 3, 2021 | Sep 3, 2021 | OVERLAND PARK, KS | Team lift out | Ibd to ibd | 2.4% |
| O••••••••• | 3 | Apr 13, 2018 | Apr 13, 2018 | CHICAGO, IL | Team lift out | Other | 3.3% |
| M••••• A•••••••• L•• | 3 | Apr 13, 2018 | Apr 25, 2018 | ST LOUIS, MO | Team lift out | Ibd to ibd | 3.3% |
| I••••••••• C•••••• M••••••••• | 4 | Oct 31, 2016 | Apr 18, 2017 | NOVI, MI | Team lift out | Other | 4.3% |