DFX Intelligence

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

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 100m 1b

C•••••• T•••• B•••

T•• C•••••• T•••• B•••, CRD 149262

JEFFERSON CITY, MO

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Search this name across graphs

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 21
On other graphs: 0
Observed: Jan 23, 2012 to Mar 13, 2026
37 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: institutional managerderived••• Locked
Regulatory AUM: $554M••• Locked
Discretionary RAUM: $452M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $277Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• A•••• R•••	Chartered Financial Analyst	JEFFERSON CITY, MO \| Chandler, TX	1	37	n/a	no
L••• J•••• F•••••	Chartered Financial Analyst	SPR•••FIELD, MO \| JEFFERSON CITY, MO	1	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• B•••••••••	Owner	E	yes	11/1970	Apr 7, 2022	Aug 6, 2024
H••••••••• R••••• R••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2024	Aug 5, 2024	Aug 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• C•••••• T•••• B•••	n/a	n/a	n/a	Y	yes	n/a

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
0	0	0	0.0%	0	0	0	1	0

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	$554M	$509M	8.9%	$449M	7.3%	4	4	4	3

Relationships

Registered with (2)

← L••• J•••• F•••••Advisorregistration: current employment
Feb 12, 2025 to presentfactForm ADV
← B•••• A•••• R•••Advisorregistration: current employment
Jan 6, 2025 to presentfactForm ADV

Controls (3)

← H••••••••• R••••• R••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 5, 2024 to Aug 6, 2024factForm ADV
← R•••• B••••• A••••

Dated events

Order

Occurred
13 Mar 2026
Ria office opened3 events
C•••••• T•••• B•••: ria office opened, 3 events, on 13 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
5 Aug 2024
Control person left
••• Locked
Form ADV
Occurred
5 Aug 2024
Control person joined2 events
C•••••• T•••• B•••: control person joined, 2 events, on 5 Aug 2024
- ••• Locked
- ••• Locked
Occurred
1 Apr 2024
Control person left
••• Locked
Form ADV
Occurred
26 Sep 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2012
Last observed: Mar 13, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 17, 2016	$501M	$492M	4	4	n/a	n/a	n/a
2014	Jan 13, 2015	$487M	$385M	5	4	n/a	n/a	n/a
2013	Jan 20, 2014	$1.0B	$331M	4	3	n/a	n/a	n/a
2012	Jan 18, 2013	$980M	$234M	4	3	n/a	n/a	n/a
2011	Jan 23, 2012	$839M	$190M	n/a	n/a	n/a	n/a	n/a