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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

L••••••••• G••••• A•••••••• L••

CRD 138547

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:6e3d6c30-de44-5f18-c1ea-c10e56a2053b

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2019
19 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: $1.0BItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
Private client RAUM: $901MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• G••••• A••••••• H•••••••• L••	Owner	E	yes	11/2005	Mar 30, 2012	Mar 29, 2019
L••••••••• C••••••• A•	CHAIRMAN AND CHIEF EXECUTIVE OFFICER	Na	yes	11/2005	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••••• • C•••••••• L••	n/a	n/a	n/a	N	yes	n/a
L••••••••• G••••• A••••••• A••••••••• P•••	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$1.0B	$1.0B	-0.2%	$920M	4.4%	17	15	1	1

Relationships

Controls (2)

← L••••••••• C••••••• A•OwnerOWNER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← L••••••••• G••••• A••••••• H•••••••• L••OwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (4)

← Q••••• C••••••••• E•••••OwnerPRESIDENT, ownership code NA, individual
Jun 6, 2018 to presentfactForm ADV
← V•• D••••• J•••••••• D•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e3d6c30-de44-5f18-c1ea-c10e56a2053b
First observed: Mar 30, 2012
Last observed: Mar 29, 2019 91 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.