DFX Intelligence

V••••••• A••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

V••••••• A••••••• S•••••••• L••

CRD 324094

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:1b7e1239-da11-4656-12d5-8207cc972db5

Data as of Feb 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 31, 2023 to Feb 1, 2023
3 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• B••••• L•••••	OWNER AND MEMBER	C	yes	04/2006	Jan 31, 2023	Feb 1, 2023
C••••• B••••• L•••••	SENIOR VICE-PRESIDENT	Na	yes	01/2023	Jan 31, 2023	Feb 1, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• C•••••• M••••••••• L•••	n/a	Independent wealth	$368M	N	yes	n/a
P•••••• C•••••• M••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAINT LOUIS	Mo	United States	1	yes

Relationships

Affiliated with (1)

→ S••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← G•••••••• R••••••• E•••••OwnerOWNER AND MEMBER, ownership code C, individual
Jan 31, 2023 to presentfactForm ADV
← T•••••••• M•••• S••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 31, 2023 to presentfactForm ADV
← C••••• B••••• L•••••OwnerOWNER AND MEMBER, ownership code C, individual

Dated events

Occurred
Jan 31, 2023
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1b7e1239-da11-4656-12d5-8207cc972db5
First observed: Jan 31, 2023
Last observed: Feb 1, 2023 44 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.