DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

W••• S••••• C•••••• A•••••••• L••

CRD 150334

LADUE, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:56840656-0471-e251-507d-053051fd6aa8

Data as of Apr 23, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2025 to Apr 23, 2025
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $3.5M••• Locked
Discretionary RAUM: $3.5M
Private client RAUM: $3.5Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• S•••••• N••••	n/a	LADUE, MO	19	44	4	no
O••••• C••••• J•••••	n/a	LADUE, MO	16	27

Relationships

Registered with (2)

← O••••• C••••• J•••••Advisorregistration: previous registration
Jan 5, 2010 to Dec 31, 2024factForm ADV
← C•••••• S•••••• N••••Advisorregistration: previous registration
Feb 14, 2007 to Dec 31, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56840656-0471-e251-507d-053051fd6aa8
First observed: Apr 23, 2025
Last observed: Apr 23, 2025 17 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.