DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 100m 1b

H•••••••• A•••••••• I•••

CRD 113412

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:a6382f53-f994-faaa-e34c-3630a9d290af

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 82
Dated events: 12
On other graphs: 1
Observed: Apr 2, 2012 to Mar 30, 2026
40 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

H•••••••• A•••••••• I•••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=51.0
Regulatory AUM: $782M••• Locked
Discretionary RAUM: $772M
Private client RAUM: $747Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 64
RAUM per advisor: $12.2M

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• L•••• C•••••••	n/a	ST. LOUIS, MO	25	42	1	yes
R••••• E••• F•••••••	n/a	ST. LOUIS, MO	25	46

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••••••• S••••••• T••••••••• G••••• F•••• L••	Private Equity Fund	$1.6M	Feb 7, 2020	4	Mar 30, 2012	dropped	021-88875

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• R•••••• L••••	MANAGING DIRECTOR	E	yes	11/2000	Apr 2, 2012	Dec 5, 2024
O••••••••• C••••••••• C•••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2006	Apr 2, 2012	Dec 5, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••••• S••••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a
K• W• C••••••• • C••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Belleville	IL	United States	7	yes
Dwight	IL	United States	6	yes
Chesterfield	Mo	United States	4	yes
Memphis	Tn	United States	4	yes
O'FALLON	IL	United States

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
3	0	3	0.0%	0	0	0	12	2

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	$782M	$626M	24.8%	$366M	28.8%	55	55	9	9

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••• A•• C••	2	Apr 11, 2024	Apr 10, 2024	INDIANAPOLIS, IN	Team lift out	Other	100.0%
D•••••• I••••••••• S••••••• I••	2	Mar 28, 2023	Jan 7, 2021

Relationships

showing 80 of 82

Registered with (71)

← K••• L•• H•••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← L•• D•••••• F•••••••••Advisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← J••• W•••••• H••••Advisorregistration: current employment
Mar 19, 2026 to presentfactForm ADV
← J•••• D•••• F•••••••

Dated events

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

Occurred
Mar 21, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$181M
Occurred
Apr 11, 2024
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Mar 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 27, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6382f53-f994-faaa-e34c-3630a9d290af
First observed: Apr 2, 2012
Last observed: Mar 30, 2026 5 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.