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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

P•••••••• L••

CRD 106599

SAINT L••••, 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 graphsid dfx:ria:9f99fc51-b91e-1205-6171-38ad550da2ad

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 110
Dated events: 32
On other graphs: 0
Observed: Dec 5, 2011 to Sep 10, 2026
55 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=0.88 fund_share=0.0 institutional_share=0.12 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $11BItem 5.F on the latest filing (2026-09-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.3B
Private client RAUM: $9.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 52
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 52

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J• C••••••••• K••••••••	Certified Financial Planner	SAINT L••••, MO	26	26	n/a	no
L••••••• J••• L••••••	n/a	SAINT L••••, MO	24

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
D• B•••• M••••••• F••••••••	ELECTED MANAGER	Na	yes	05/2017	Sep 10, 2026	Sep 10, 2026
E••••• M••••••• L••	CHIEF INFORMATION SECURITY OFFICER	Na	yes	06/2020	Sep 10, 2026

Offices

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

City	State	Country	Employees	Also broker-dealer
Sarasota	FL	United States	1	no
n/a	n/a	n/a	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; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
12	3	9	5.8%	2	0	0	20	5

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
2025	$11B	$7.3B	45.8%	$5.5B	24.2%	112	83	12	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••	2	Oct 10, 2025	Oct 9, 2025	ST L••••, MO	Team lift out	RIA to RIA	5.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• I••••••••• A••••••• I••	5	Apr 7, 2026	Apr 1, 2026	FRESNO, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

showing 80 of 110

Registered with (57)

← ANDREW MARCANTONIO-FIELDSAdvisorregistration: current employment
Aug 11, 2026 to presentfactForm ADV
← Kevin Jordan G•••••Advisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← VALERIANE Michelle WILSONAdvisorregistration: current employment
May 28, 2026 to presentfactForm ADV
← Madeline Claire Shores

Dated events

Occurred
Apr 7, 2026
Firm absorbed
R•••••• I••••••••• A••••••• I••'s advisors moved to P•••••••• L•• (Fresno, CA): 5 of 5 registered, on the same day
Form ADVobserved 6 days ago
5 advisors
Occurred
Oct 10, 2025
Team lift-out
2 advisors left P•••••••• L•• (ST Louis, MO) for Savvy on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Oct 10, 2025
Advisor changed firm
Susan Jones left P•••••••• L•• for Savvy (registered 2025-10-09)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f99fc51-b91e-1205-6171-38ad550da2ad
First observed: Dec 5, 2011
Last observed: Sep 10, 2026 12 days 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.

Controls (15)

← O••••••••• M•••• A•••OwnerELECTED MANAGER, ownership code NA, individual
Nov 2, 2021 to Jun 13, 2024factForm ADV
← C•••••• S•••••• E•••••OwnerMEMBER, ownership code C, individual
Feb 21, 2024 to Jun 13, 2024factForm ADV
← K•••••• Y•••••• N••••••OwnerMEMBER, ownership code C, individual
Feb 21, 2024 to Jun 13, 2024factForm ADV
← G•••••• W•••••• W•••••OwnerCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2015 to Jun 13, 2024factForm ADV
← E••••• M••••••• L••OwnerCHIEF INFORMATION SECURITY OFFICER, ownership code NA, individual
Jun 30, 2020 to Jun 13, 2024factForm ADV
← K••••••••• J•• C•••••••••OwnerTRUSTEE, ownership code F, individual
Dec 5, 2011 to Jun 13, 2024factForm ADV
← K•••• B••••• M••••••OwnerVICE CHAIRMAN AND ELECTED MANAGER, ownership code NA, individual
Mar 27, 2014 to Jun 13, 2024factForm ADV
← G•••••• K•••••••• ••••••• CARRINGTON JOYCEOwnerMANAGER, ownership code NA, individual
Mar 28, 2023 to Jun 13, 2024factForm ADV
← E•••••• L•••• E••••OwnerDIRECTOR, ownership code F, individual
May 26, 2021 to Jun 13, 2024factForm ADV
← E•••••• S••••••• F••OwnerDIRECTOR, ownership code E, individual
May 26, 2021 to Jun 13, 2024factForm ADV
← G•••••• R•••••• M••••••OwnerDIRECTOR, ownership code F, individual
May 26, 2021 to Jun 13, 2024factForm ADV
← D• B•••• M••••••• F••••••••OwnerELECTED MANAGER, ownership code NA, individual
Jun 2, 2017 to Jun 13, 2024factForm ADV
← K••••••••• J••••••• A••OwnerTRUSTEE, ownership code F, individual
May 26, 2021 to Jun 13, 2024factForm ADV
← R•••••• B•••••••• J•••OwnerMEMBER, ownership code C, individual
Feb 21, 2024 to Jun 13, 2024factForm ADV
← S••••• S••••••• H••••••OwnerMANAGER, ownership code NA, individual
Mar 28, 2023 to Jun 13, 2024factForm ADV

2025	Apr 16, 2026	$9.9B	$8.8B	96	48	8	n/a	n/a
2024	Apr 9, 2025	$7.3B	$6.7B	83	42	4	n/a	n/a
2023	Mar 27, 2024	$6.5B	$6.1B	81	47	4	n/a	n/a
2022	Mar 28, 2023	$5.5B	$5.3B	76	49	1	n/a	n/a
2021	Mar 31, 2022	$6.1B	$5.7B	68	49	1	n/a	n/a
2020	Mar 31, 2021	$5.1B	$4.8B	68	49	1	n/a	n/a
2019	Mar 30, 2020	$4.5B	$4.4B	65	46	3	n/a	n/a
2018	Mar 29, 2019	$3.7B	$3.5B	65	49	3	n/a	n/a
2017	Mar 29, 2018	$4.0B	$3.8B	57	40	3	n/a	n/a
2016	Mar 30, 2017	$3.4B	$3.4B	54	39	n/a	n/a	n/a
2015	Mar 23, 2016	$3.0B	$3.0B	48	33	n/a	n/a	n/a
2014	Mar 26, 2015	$2.9B	$2.9B	45	34	n/a	n/a	n/a
2013	Mar 27, 2014	$2.4B	$2.4B	35	27	n/a	n/a	n/a
2012	Mar 28, 2013	$1.9B	$1.9B	30	24	n/a	n/a	n/a
2011	Mar 28, 2012	$1.6B	$1.5B	n/a	n/a	n/a	n/a	n/a