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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

I••••••••• I•••••••• A••••••• C••••••

CRD 109655

FENTON, MO

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Data as of Jun 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Jun 15, 2012 to Jun 26, 2020
15 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: $59.2M••• Locked
Discretionary RAUM: $59.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $59.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• M••• S••••••	n/a	FENTON, MO	6	7	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••••••• F•••• L••	Other Private Fund	$30.2M	Jun 26, 2020	35	Mar 30, 2018	reported	021-308510
I••••••••• F•••• L••	Other Private Fund	$29.0M	Jun 26, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• M•••••••• M•••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2020	Jun 26, 2020	Jun 26, 2020
W•••••• L• Z••••••••• T••••••• U•• W•••••• L• Z•••••••• T••••• D•••• O••• 1•• 1•••	Owner	E	yes	12/2004	Mar 30, 2018	Jun 26, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Z•••••••• • A••••••••• P•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$59.2M	$97.0M	-39.0%	$350M	-44.7%	4	4	0	0

Relationships

Registered with (2)

← M••••••• M••• S••••••Advisorregistration: current employment
Jul 8, 2020 to presentfactForm ADV
← S•••••• L•••• Z••••••••Advisorregistration: previous registration
Oct 10, 1995 to Feb 15, 2006factForm ADV

Advises (2)

→ I•••••••• F•••• L••Private fundOther Private Fund, IA
Mar 30, 2018 to presentfactForm ADV
→

Dated events

Order

Occurred
26 Jun 2020
Control person joined
••• Locked
Form ADV
Occurred
29 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
$-110M
Occurred
15 Jun 2012
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2012
Last observed: Jun 26, 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.