DFX Intelligence

M•••• R••• W••••• A•••••••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M•••• R••• W••••• A•••••••• L•••••

CRD 134109

CHESTERFIELD, MO

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Search this name across graphsid dfx:ria:0e26e9d1-257d-2ee0-dc19-bd25285d7651

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 1
Observed: Nov 16, 2011 to Mar 31, 2022
23 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M•••• R••• W••••• A•••••••• L•••••

Investment consultant · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $116M••• Locked
Discretionary RAUM: $107M
Private client RAUM: $73.7Mderived••• Locked
Private client share: 64%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• W••••••• J•••••	Member	B	yes	11/2004	Nov 16, 2011	Mar 31, 2022
T•••••• J••••• E•••••	Member	B	yes	11/2004	Nov 16, 2011	Mar 31, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••• P•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$116M	$110M	4.8%	$94.4M	7.0%	6	7	0	0

Relationships

Controls (3)

← W••••••• J•••• W••••OwnerMEMBER & CHIEF COMPLIANCE OFFICER, ownership code B, individual
Nov 16, 2011 to presentfactForm ADV
← T•••••• J••••• E•••••OwnerMEMBER, ownership code B, individual
Nov 16, 2011 to presentfactForm ADV
← P••••• W••••••• J•••••OwnerMEMBER, ownership code B, individual
Nov 16, 2011 to presentfactForm ADV

Owns (3)

← P••••••••• L•••• A••OwnerMEMBER, ownership code B, individual

Dated events

Occurred
Jul 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 10, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e26e9d1-257d-2ee0-dc19-bd25285d7651
First observed: Nov 16, 2011
Last observed: Mar 31, 2022 54 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.