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CRD 299827
ST. LOUIS, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• J••••• R••••••• | n/a | Dallas, TX | ST. LOUIS, MO | 7 | 23 | 1 | no |
| J••• D•••••• J•••• | Certified Financial Planner | Georgetown, TX | 7 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| I••••••••• H•••••••• L•• | GENERAL PARTNER | E | yes | 01/2024 | Mar 15, 2024 | Apr 11, 2024 |
| O•••••••• T•••••• J•••• | CHIEF OPERATING OFICER | Na | yes | 01/2024 | Mar 15, 2024 | Apr 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••••••• W••••• I•••••••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 12.5% | 0 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $711M | $386M | 84.1% | $263M | 39.2% | 15 | 13 | 4 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•••• S••••••••• L•• | 3 | Jan 4, 2019 | Mar 15, 2019 | CHESTERFIELD, MO | Team lift out | Ibd to new firm | 0.3% |
| no |
| S•••••• L•••• F••• | Certified Financial Planner | ST. LOUIS, MO | 7 | 13 | 2 | no |
| T••••• J•••• O••••••• | n/a | ST. LOUIS, MO | 5 | 13 | n/a | no |
| A•••••••• M••• H••••• | n/a | ST. LOUIS, MO | 3 | 11 | 1 | no |
| L•••••• N••••• M•••••• | Chartered Financial Consultant | Frisco, TX | 2 | 12 | 3 | no |
| C••••••••• D•••••• B•••••••• | Certified Financial Planner | ST. LOUIS, MO | Mount Pleasant, SC | 1 | 26 | 4 | no |
| N••••• E••••• C•••••• | n/a | ST. LOUIS, MO | 0 | 14 | n/a | no |
| CHIEF EXECUTIVE OFFICER |
| Na |
| yes |
| 12/2018 |
| Nov 21, 2018 |
| Apr 11, 2024 |
| H•••••• M•••••••• E••••• | CHIEF COMPLIANCE OFFICER | Na | no | 05/2020 | May 29, 2020 | Apr 11, 2024 |
| T••••• H•••••••• L•• | LIMITED PARTNER | A | no | 01/2024 | Mar 15, 2024 | Apr 11, 2024 |
| $711M |
| $684M |
| 15 |
| 8 |
| 4 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $386M | $366M | 13 | 7 | 2 | n/a | n/a |
| 2023 | Mar 15, 2024 | $297M | $281M | 10 | 6 | 1 | n/a | n/a |
| 2022 | Mar 7, 2023 | $263M | $242M | 10 | 5 | 0 | n/a | n/a |
| 2021 | Mar 11, 2022 | $253M | $234M | 11 | 6 | 0 | n/a | n/a |
| 2020 | Mar 15, 2021 | $168M | $153M | 9 | 5 | 0 | n/a | n/a |
| 2019 | Mar 23, 2020 | $144M | $132M | 4 | 4 | 0 | n/a | n/a |