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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C••••••••• I••••••••• M••••••••• L••

CRD 146019

SAINT LOUIS, MO

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Search this name across graphsid dfx:ria:af325b13-0c3e-c5cf-2620-309dd4d0ba94

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 7
On other graphs: 0
Observed: Mar 12, 2012 to Mar 25, 2026
24 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=0.92 fund_share=0.01 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.7BItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.7B
Private client RAUM: $6.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
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
M••• A••• K•••••	Chartered Financial Analyst	SAINT LOUIS, MO	18	44	1	no
D•••• B•••• M•••••••	Chartered Financial Analyst	SAINT LOUIS, MO	18	26

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•••• P•••••••• A••••••	SVP AND CFO	A	yes	02/2008	Mar 25, 2026	Mar 25, 2026
F•••••• S•••••• P••••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2019	Mar 25, 2026

Offices

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

City	State	Country	Employees	Also broker-dealer
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

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	0	0

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	$6.7B	$7.3B	-7.3%	$6.9B	-1.0%	55	55	3	3

Relationships

Registered with (9)

← M•••••• J•••• K•••••••Advisorregistration: current employment
Jul 29, 2020 to presentfactForm ADV
← M•••••• J•••• P••••••Advisorregistration: current employment
Nov 12, 2018 to presentfactForm ADV
← M•••••• D•••• S••••••••Advisorregistration: current employment
May 3, 2018 to presentfactForm ADV
← B••••• B••• B••••••

Dated events

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

Occurred
Mar 9, 2020
Regulatory AUM changed
C••••••••• I••••••••• M••••••••• L•• reported RAUM $7.0B, up 28% from $5.5B (2019-07-12 to 2020-03-09)
Form ADVobserved 6 days ago
$1.5B
Occurred
Jul 12, 2019
Control person left
Steele Anne Kochevar (Chief Compliance Officer) no longer on Schedule A of C••••••••• I••••••••• M••••••••• L•• (listed 2019-06-03, absent 2019-07-12)
Form ADVobserved 6 days ago
Occurred
Jul 12, 2019
Control person joined
Patrick Steven Farmer (Chief Compliance Officer) appeared on Schedule A of C••••••••• I••••••••• M••••••••• L••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af325b13-0c3e-c5cf-2620-309dd4d0ba94
First observed: Mar 12, 2012
Last observed: Mar 25, 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.

2025	Mar 25, 2026	$6.7B	$6.7B	55	25	3	n/a	n/a
2024	Mar 21, 2025	$7.3B	$7.3B	55	24	3	n/a	n/a
2023	Mar 21, 2024	$7.2B	$7.2B	54	23	3	n/a	n/a
2022	Mar 9, 2023	$6.9B	$6.9B	47	23	3	n/a	n/a
2021	Mar 21, 2022	$7.8B	$7.8B	46	16	1	n/a	n/a
2020	Mar 5, 2021	$6.9B	$6.9B	46	20	2	n/a	n/a
2019	Mar 9, 2020	$7.0B	$7.0B	47	20	2	n/a	n/a
2018	Mar 27, 2019	$7.9B	$5.5B	41	19	2	n/a	n/a
2017	Mar 16, 2018	$8.3B	$5.9B	33	15	1	n/a	n/a
2016	Mar 10, 2017	$6.2B	$4.4B	25	12	n/a	n/a	n/a
2015	Mar 14, 2016	$3.9B	$3.2B	24	12	n/a	n/a	n/a
2014	Feb 18, 2015	$3.1B	$2.6B	23	12	n/a	n/a	n/a
2013	Feb 13, 2014	$2.3B	$2.0B	22	12	n/a	n/a	n/a
2012	Feb 7, 2013	$1.6B	$1.3B	21	12	n/a	n/a	n/a
2011	Mar 12, 2012	$1.4B	$1.0B	n/a	n/a	n/a	n/a	n/a