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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A••••••• H••••••• • C•

CRD 105157

ST LOUIS, MO

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Search this name across graphsid dfx:ria:ab426fcf-992e-f754-6a56-becb4133bd6a

Data as of Feb 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 0
Observed: Mar 6, 2012 to Feb 3, 2026
21 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=0.66 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-02-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $946MderivedItem 5.D individuals plus high net worth individuals
Private client share: 66%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••••••• R• H•••••••	Chartered Financial Analyst	ST LOUIS, MO	30	34	n/a	no
D•••• C• A•••••••	Chartered Financial Analyst	ST. LOUIS, MO	30	46

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• C••• F•••• L••	Other Private Fund	$15.9M	Jul 12, 2024	29	Oct 2, 2013	dropped	021-39375
A••• B••• F•••• L••	Other Private Fund	$5.6M

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•••••••• D••••• C•	CHAIRMAN AND DIRECTOR	C	yes	12/2012	Feb 3, 2026	Feb 3, 2026
H•••••••• C••••• C••••••••	PRESIDENT AND TREASURER	C	yes	12/2012	Feb 3, 2026

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

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
0	0	0	0.0%	0	0	0	1	1

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	$1.4B	$1.2B	15.0%	$922M	15.7%	8	8	0	0

Relationships

Advises (2)

→ A••• C••• F•••• L••Private fundOther Private Fund, IA
Oct 2, 2013 to presentfactForm ADV
→ A••• B••• F•••• L••Private fundOther Private Fund, IA
Oct 2, 2013 to presentfactForm ADV

Registered with (9)

← J••••• M•••• P•••••••Advisorregistration: current employment
Apr 12, 2024 to presentfactForm ADV
←

Dated events

Occurred
Jan 10, 2024
Advisor changed firm
Harrison Ivie left A••••••• H••••••• • C• for J.P. Morgan Securities Llc (registered 2026-03-10)
Form ADVobserved 7 days ago
Occurred
Feb 4, 2022
Advisor changed firm
Jennifer Michelle O'Connor left A••••••• H••••••• • C• for Moneta Group Investment Advisors, Llc (registered 2022-02-28)
Form ADVobserved 7 days ago
Occurred
Mar 19, 2021
Regulatory AUM changed
A••••••• H••••••• • C• reported RAUM $895.6M, up 41% from $634.2M (2020-06-23 to 2021-03-19)
Form ADVobserved 7 days ago
$261M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab426fcf-992e-f754-6a56-becb4133bd6a
First observed: Mar 6, 2012
Last observed: Feb 3, 2026 7 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.

2025	Feb 3, 2026	$1.4B	$1.4B	8	7	0	n/a	n/a
2024	Feb 27, 2025	$1.2B	$1.2B	8	7	0	2	n/a
2023	Feb 12, 2024	$1.1B	$1.1B	7	6	0	2	$21.5M
2022	Feb 22, 2023	$922M	$922M	7	6	0	2	$21.1M
2021	Jan 28, 2022	$1.1B	$1.1B	6	5	0	2	$24.1M
2020	Mar 19, 2021	$896M	$896M	6	5	0	2	$20.7M
2019	Apr 3, 2020	$634M	$634M	7	5	0	2	$18.2M
2018	Mar 29, 2019	$520M	$514M	7	5	0	2	$16.1M
2017	Mar 30, 2018	$527M	$524M	5	4	0	2	$17.4M
2016	Mar 31, 2017	$437M	$437M	6	5	n/a	2	$16.3M
2015	Mar 29, 2016	$405M	$405M	6	5	n/a	2	$16.9M
2014	Mar 31, 2015	$387M	$387M	6	5	n/a	2	$18.4M
2013	Jan 15, 2014	$379M	$379M	6	5	n/a	2	$16.3M
2012	Mar 11, 2013	$297M	$292M	6	5	n/a	n/a	n/a
2011	Mar 6, 2012	$254M	$247M	n/a	n/a	n/a	n/a	n/a