DFX Intelligence

E•••• R•••• C•••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E•••• R•••• C•••••• G••••• L••

CRD 145795

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:38ff9247-1728-d2a0-4bf2-f44d6f288e6b

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 19, 2012 to Feb 11, 2026
16 observations

Across DFX

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

Family Officesidentity

E•••• R•••• C•••••• G••••• L••

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $146M••• Locked
Discretionary RAUM: $146M
Private client RAUM: $146Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E•••• R•••• M••••••••• L••	Hedge Fund	$6.5M	Mar 24, 2022	5	Mar 19, 2012	dropped	021-115765
E•••• R•••• L••••••••• E•••••••• L••	Hedge Fund	$5.0M	Mar 16, 2021

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• J•••• C•••••••	CHIEF COMPLIANCE OFFICER, MEMBER	Na	yes	11/2007	Mar 19, 2012	Mar 7, 2024
M•••••••• D••••• T•••••	MANAGING DIRECTOR	Na	yes	11/2007	Mar 19, 2012	Mar 7, 2024

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$146M	$137M	6.5%	$129M	4.3%	2	2	0	0

Relationships

Controls (4)

← G••••••••• J•••• C•••••••OwnerCHIEF COMPLIANCE OFFICER, MEMBER, ownership code NA, individual
Mar 19, 2012 to Mar 7, 2024factForm ADV
← M•••••••• D••••• T•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 19, 2012 to Mar 7, 2024factForm ADV
← T•• D•••• T• P•••••• E••••• T•••• D•• 9••••••OwnerMEMBER, ownership code E, domestic entity
Mar 19, 2012 to Mar 7, 2024factForm ADV
← W•••••• P•••••• M•••••••OwnerTRUSTEE, ownership code E, domestic entity
Mar 19, 2012 to Mar 7, 2024

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38ff9247-1728-d2a0-4bf2-f44d6f288e6b
First observed: Mar 19, 2012
Last observed: Feb 11, 2026 7 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.