DFX Intelligence

A••••• C•••••• M••••••••• 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 adviserIndependent wealth managerSEC registeredRAUM 1b 10b

A••••• C•••••• M••••••••• L••

CRD 107930

CLAYTON, 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 graphs

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 13
On other graphs: 0
Observed: Mar 29, 2012 to Mar 27, 2026
26 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: independent wealth managerderivedprivate_client_share=0.86 fund_share=0.04 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.0B••• Locked
Discretionary RAUM: $3.8B
Private client RAUM: $3.4Bderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $665Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••• H••••• C•••••••	n/a	St. Louis, MO	22	23	n/a	no
E••••• L••••• B••••	n/a	CLAYTON, MO	4	30

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• S•••• C•• C••• F•••• L••	Other Private Fund	$126M	Mar 29, 2018	80	Mar 29, 2012	dropped	021-159618

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• L••••• W••••••	PRESIDENT AND MEMBER	B	yes	01/2025	Mar 27, 2026	Mar 27, 2026
F••••••• S•••••• L••••	CHAIRMAN, CEO , AND MEMBER	C	yes	09/1998	Mar 27, 2026	Mar 27, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• G•••• I••••••••• A•••••••• L••	n/a	Independent wealth	$51B	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	1

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	$4.0B	$3.9B	2.3%	$3.0B	9.9%	23	24	0	0

Relationships

Affiliated with (2)

← M••••• G•••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• G•••• I••••••••• A•••••••• L••Registered adviserother investment adviser
factForm ADV

Owns (3)

← H•••••••• S••••• A•••••OwnerPORTFOLIO MANAGER AND MEMBER, ownership code A, individual
Mar 27, 2026 to presentfactForm ADV
← M•••••••• K•••• F••••Owner

Dated events

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

Order

Occurred
27 Mar 2026
Ria ownership band change
••• Locked
Form ADV
Occurred
27 Mar 2026
Ria principal change
••• Locked
Form ADV
Occurred
24 Jun 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
21 Dec 2023
Control person joined3 events
A••••• C•••••• M••••••••• L••: control person joined, 3 events, on 21 Dec 2023
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
21 Dec 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 27, 2026 6 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$2.4B	$2.4B	18	18	n/a	1	$92.1M
2014	Mar 30, 2015	$2.8B	$2.8B	20	19	n/a	1	$102M
2013	Mar 31, 2014	$2.5B	$2.5B	21	19	n/a	1	$100M
2012	Mar 28, 2013	$1.8B	$1.8B	18	16	n/a	1	$73.8M
2011	Mar 29, 2012	$1.3B	$1.3B	n/a	n/a	n/a	1	$52.1M