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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

P••••••• R•••••••• L•••

CRD 105139

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:78ac7e25-0bdf-428f-087e-834b12c83a26

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 11
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2022
27 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: $36BItem 5.F on the latest filing (2022-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%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
A••••••••• A••••• D•••	Treasurer	Na	yes	03/2021	Mar 31, 2021	Mar 30, 2022
E•• H•••••• C••••••• I•••	GENERAL PARTNER	F	yes	08/1987	Mar 29, 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
E••••• D• J•••• • C••• L•••	n/a	National bd RIA	$1014B	Y	yes	n/a
O•••• S••••• I••••••••• A•••••••• L••	n/a	Asset manager	$204B	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Tempe	Az	United States	7	yes

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
2021	$36B	$34B	4.2%	$29B	6.9%	136	121	1	1

Relationships

Affiliated with (2)

→ O•••• S••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ E••••• J••••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (9)

← E••••• J••••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV
← K•••••••• T•••••• C•••••••••Owner

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 30, 2021
Control person left
Joseph Bryan Luebbert (Vice President) no longer on Schedule A of P••••••• R•••••••• L••• (listed 2021-03-31, absent 2021-07-30)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person joined
D••• A•••• A•••••••• (Treasurer) appeared on Schedule A of P••••••• R•••••••• L•••
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person left
Joseph Michael Besmer (Treasurer) no longer on Schedule A of P••••••• R•••••••• L••• (listed 2020-12-18, absent 2021-03-31)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78ac7e25-0bdf-428f-087e-834b12c83a26
First observed: Mar 29, 2012
Last observed: Mar 30, 2022 54 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.