DFX Intelligence

G••••••• F••••• O•••••• 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

G••••••• F••••• O•••••• L••

CRD 153070

ST LOUIS, MO

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Search this name across graphsid dfx:ria:12521984-2370-5c47-2a12-72440ad0ba3e

Data as of Jun 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 2
On other graphs: 0
Observed: Apr 2, 2012 to Jun 8, 2020
51 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $462M••• Locked
Discretionary RAUM: $186M
Private client RAUM: $437Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• R•••••• C•••••••••	SOLE MEMBER	E	yes	01/2017	Apr 4, 2017	Jun 8, 2020
F•••••• L••••• L••	MANAGING MEMBER	E	yes	04/2010	Apr 2, 2012	Jun 8, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••• I•••••••• S•••••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$462M	$382M	20.8%	$353M	9.3%	8	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•• C•••••• M••••••••• L••	6	Dec 23, 2020	Jan 13, 2021	ST LOUIS, MO	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (5)

← M•••••• J•••• D•••••OwnerMANAGING MEMBER, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV
← C•••••••• R•••••• C•••••••••OwnerSOLE MEMBER, ownership code E, individual
Apr 4, 2017 to presentfactForm ADV
← F•••••• L••••• L••OwnerMANAGING MEMBER, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV
← M•••••••• T•••••• C•••••OwnerMANAGING MEMBER, ownership code E, individual
Mar 28, 2016 to presentfact

Dated events

Occurred
Jul 24, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 24, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12521984-2370-5c47-2a12-72440ad0ba3e
First observed: Apr 2, 2012
Last observed: Jun 8, 2020 76 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.