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5 additional relationships, 1 more table row
Every relationship, event and table row on this record, with the source on each.
7 days of DFX Intelligence free, then $199/month unless canceled. A card is taken when the trial starts.
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated Oct 7, 2026 (filing); first seen by DFX Oct 8, 2026.
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 |
|---|---|---|---|---|---|---|
| JOHN ERWIN HOFMAN | n/a | CHESTERFIELD, MO | 0 | 38.9 | 3 | no |
| JAMES ARTHUR HOFMAN | Certified Financial Planner | CHESTERFIELD, MO | 0 | 13.1 | 2 | no |
| ROBERT STEVENS HOFMAN | Certified Financial Planner | CHESTERFIELD, MO | 0 | 11.2 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HOFMAN, JAMES, ARTHUR | MANAGING MEMBER | D | yes | 03/2026 | May 22, 2026 | May 22, 2026 |
| HOFMAN, ROBERT, STEVENS | MANAGING MEMBER | D | yes | 03/2026 | May 22, 2026 | May 22, 2026 |
| RHODES, RUTH, ANN | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2026 | May 22, 2026 | May 22, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 0 | 4 | 0.0% | 4 | 0 | 0 | 4 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | 4 | Oct 7, 2026 | Sep 21, 2026 | CHESTERFIELD, MO | Team lift out | Wirehouse to RIA | 0.0% |
Named in 1 current finding: 31 wirehouse advisors left in 8 teams for independent RIAs in 90 days; Cresset Asset Management, Llc took the most
Between 2026-08-02 and 2026-10-31, 8 lift-out teams (31 people) moved from a wirehouse to a registered investment adviser, out of 492 lift-out teams of every kind (1,497 people).