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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A•• A•••• M••••••••• L••

CRD 108935

ST LOUIS, MO

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Search this name across graphsid dfx:ria:cdea9ac9-2a46-311a-3c89-c16cc573df74

Data as of Apr 3, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 1
Observed: Nov 16, 2011 to Apr 3, 2014
27 observations

Across DFX

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

Private Equityidentity

A•• A•••• M••••••••• L••

Private equity manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $205M••• Locked
Discretionary RAUM: $203M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• C••••••••• H•••••••• I•••	Member	C	yes	09/2009	Nov 16, 2011	Apr 3, 2014
A•• H•••••••• L••	Member	C	yes	09/2009	Nov 16, 2011	Apr 3, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••• A••••••• S•••••••• L••	n/a	Former SEC adviser	n/a	Y	yes	n/a
F•••••• S••••••••• L••	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
2013	Mar 31, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$205M	$209M	-2.0%	n/a	n/a	6	8	n/a	n/a

Relationships

Affiliated with (1)

→ F•••••• A••••••• S•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (15)

← S••••••••• G•••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← B•••••• C••••• H•••••OwnerELECTED MANAGER, ownership code F, individual
Nov 16, 2011 to presentfactForm ADV
← S••••••• W••••••• P•••OwnerTRUSTEE, ownership code F, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cdea9ac9-2a46-311a-3c89-c16cc573df74
First observed: Nov 16, 2011
Last observed: Apr 3, 2014 151 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.