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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

FINANCIAL & TAX ARCHITECTS, LLC

CRD 119169

ST. LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d9656496-8dac-eb2a-3d6c-4ee8513960ad

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 63
Dated events: 23
On other graphs: 0
Observed: Jan 9, 2019 to Jun 18, 2026
56 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=0.74 fund_share=0.26 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $506MItem 5.F on the latest filing (2026-06-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $506M
Private client RAUM: $375MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 37
RAUM per advisor: $13.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 71
Advisory employees: 40
Offices: 21Schedule D 1.F, beyond the principal office
Accounts: 3,736
Individual clients: 1,416
High net worth clients: 149
SEC number: 801-114688
CRD: 119169
Filings on the tape: 56
First filed: Jan 9, 2019
Latest filed: Jun 18, 2026
Organised: Limited Liability Company, MO
Website: summitretirementplanning.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 37

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID SCOTT BROOKS	n/a	ST. LOUIS, MO	27	37	n/a	no
GORDON CHRISTOPHER HAAVE	Chartered Financial Analyst	ST. LOUIS, MO	9	21	3	no
Mark Robin Kukielski	n/a	ST. LOUIS, MO	8	16	n/a	no
JASON TODD HILL	n/a	Luther, OK	8	27	4	no
Scott M Peterson	n/a	ST. LOUIS, MO	7	14	1	no
RONALD MENDOZA	n/a	Valencia, CA	7	24	2	no
ALAN BRADLEY SCHMIDT	n/a	Edina, MN	6	20	1	no
MICHAEL BRIAN WOFSEY	n/a	ST. LOUIS, MO \| COEUR D'ALENE, ID	6	24	1	no
ALAN DWAYNE JOHNSON	n/a	Largo, MD	5	29	1	no
Paul Albert Stout	n/a	Knoxville, TN	5	28	1	no
JASON JAMES SMITKA	n/a	Overland Park, KS	4	15	3	no
ERION KAFAZI	n/a	ST. LOUIS, MO	3	13	n/a	no
Anthony Christopher Gitcho	n/a	ST. LOUIS, MO	3	18	1	no
SEAN TIMOTHY KENNEY	n/a	ST. LOUIS, MO	2	13	n/a	no
CATHERINE SOO LOQUET	n/a	ST. LOUIS, MO \| Newport Beach, CA	2	28	3	no
MIA KRISTINA SULAK	n/a	ST. LOUIS, MO \| AGOURA HILLS, CA	2	12	n/a	no
GARY R DAVIS	Certified Financial Planner\|Chartered Financial Consultant	LAS VEGAS, NV \| ST. LOUIS, MO	2	29	1	no
ROY DAVIDSON JONES	n/a	Florence, SC \| ST. LOUIS, MO	2	25	2	no
RYAN LEIGH HILL	n/a	EDMOND, OK \| ST. LOUIS, MO	1	12	n/a	no
Justin Yoo	n/a	ST. LOUIS, MO \| Frederick, MD	1	14	n/a	no
Robert Cain Atkinson	n/a	Murfreesboro, TN \| ST. LOUIS, MO	1	11	n/a	no
David Terrance Anderson	n/a	Chicago, IL	1	10	n/a	no
Brett J Heniss	n/a	Oak Brook, IL	1	13	n/a	no
JAMES M FOX	n/a	ST. LOUIS, MO \| Chicago, IL	1	16	9	no
DONALD GASTON	n/a	ST. LOUIS, MO	1	12	1	no

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
BROOKS, DAVID, SCOTT	Shareholder	E	yes	05/2022	Jan 9, 2019	Oct 24, 2024
BROOKS, DAVID, SCOTT	CHIEF EXECUTIVE OFFICER	Na	yes	07/1999	Jan 9, 2019	Oct 24, 2024
FTA HOLDINGS GROUP, LLC	Member	E	yes	05/2022	Nov 17, 2022	Oct 24, 2024
HAAVE, GORDON, CHRISTOPHER	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	11/2016	Jan 9, 2019	Oct 24, 2024
VICTORIAE, INC.	Member	E	yes	05/2022	Nov 17, 2022	Oct 24, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ADVISORMAX, LLC	n/a	n/a	n/a	N	yes	n/a
FTA INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Largo	Md	United States	2	no
AGOURA HILLS	CA	United States	1	no
COSTA MESA	CA	United States	1	no
Lancaster	CA	United States	1	no
Valencia	CA	United States	1	no
Ponderay	Id	United States	1	no
Edwardsville	IL	United States	1	no
OVERLAND PARK	Ks	United States	1	no
EDEN PRAIRIE	Mn	United States	1	no
Springfield	Mo	United States	1	no
LAS VEGAS	Nv	United States	1	no
Edmond	Ok	United States	1	no
Edmond	Ok	United States	1	no
Tulsa	Ok	United States	1	no
Franklin	Tn	United States	1	no
Knoxville	Tn	United States	1	no
Lebanon	Tn	United States	1	no
Murfreesboro	Tn	United States	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; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 30, 2026	$506M	$506M	71	40	20	n/a	n/a
2024	Mar 20, 2025	$443M	$443M	53	24	20	n/a	n/a
2023	Mar 8, 2024	$379M	$346M	40	25	16	n/a	n/a
2022	Mar 20, 2023	$317M	$298M	26	17	6	n/a	n/a
2021	Mar 31, 2022	$269M	$269M	20	14	6	n/a	n/a
2020	Mar 31, 2021	$184M	$184M	22	14	6	n/a	n/a
2019	Mar 19, 2020	$151M	$151M	22	13	7	n/a	n/a

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
8	4	4	10.8%	2	0	0	15	13

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	$506M	$443M	14.3%	$317M	16.9%	71	53	21	20

Relationships

Registered with (57)

← Brian WhiteAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← GREGORY SCOTT CREELAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← BRIAN PATRICK HOODJERAdvisorregistration: previous registration
Jan 13, 2025 to Nov 10, 2025factForm ADV
← MICHAEL HENRIK KURTHAdvisorregistration: current employment
Apr 24, 2026 to presentfactForm ADV
← ANTHONY LEE BROWNAdvisorregistration: current employment
Dec 19, 2025 to presentfactForm ADV
← Joseph GohAdvisorregistration: current employment
Dec 18, 2025 to presentfactForm ADV
← Cassandra Michelle SanchezAdvisorregistration: current employment
Dec 18, 2025 to presentfactForm ADV
← Brayden Brian AdamsAdvisorregistration: current employment
Nov 17, 2025 to presentfactForm ADV
← Jordan Daniel BlantonAdvisorregistration: current employment
Oct 17, 2025 to presentfactForm ADV
← RANDALL ALBERT KNAPPAdvisorregistration: current employment
Oct 10, 2025 to presentfactForm ADV
← ANDREW VINCENT CLAUSAdvisorregistration: current employment
Sep 27, 2025 to presentfactForm ADV
← Cody Lee BrownAdvisorregistration: current employment
Aug 26, 2025 to presentfactForm ADV
← JAMES M FOXAdvisorregistration: current employment
Aug 14, 2025 to presentfactForm ADV
← DONALD GASTONAdvisorregistration: current employment
Aug 14, 2025 to presentfactForm ADV
← Brett J HenissAdvisorregistration: current employment
Jul 26, 2025 to presentfactForm ADV
← David Terrance AndersonAdvisorregistration: current employment
Jul 4, 2025 to presentfactForm ADV
← Robert Cain AtkinsonAdvisorregistration: current employment
Jun 6, 2025 to presentfactForm ADV
← Justin YooAdvisorregistration: current employment
Apr 29, 2025 to presentfactForm ADV
← RYAN LEIGH HILLAdvisorregistration: current employment
Feb 3, 2025 to presentfactForm ADV
← ROY DAVIDSON JONESAdvisorregistration: current employment
Sep 12, 2024 to presentfactForm ADV
← GARY R DAVISAdvisorregistration: current employment
Feb 27, 2024 to presentfactForm ADV
← MIA KRISTINA SULAKAdvisorregistration: current employment
Jan 30, 2024 to presentfactForm ADV
← CATHERINE SOO LOQUETAdvisorregistration: current employment
Jan 9, 2024 to presentfactForm ADV
← SEAN TIMOTHY KENNEYAdvisorregistration: current employment
Nov 16, 2023 to presentfactForm ADV
← Anthony Christopher GitchoAdvisorregistration: current employment
Jul 6, 2023 to presentfactForm ADV
← ERION KAFAZIAdvisorregistration: current employment
Jan 17, 2023 to presentfactForm ADV
← JASON JAMES SMITKAAdvisorregistration: current employment
Feb 14, 2022 to presentfactForm ADV
← Paul Albert StoutAdvisorregistration: current employment
Aug 18, 2021 to presentfactForm ADV
← ALAN DWAYNE JOHNSONAdvisorregistration: current employment
Jun 16, 2021 to presentfactForm ADV
← MICHAEL BRIAN WOFSEYAdvisorregistration: current employment
Sep 14, 2020 to presentfactForm ADV
and 27 more

Controls (4)

← BROOKS, DAVID, SCOTTOwnerSHAREHOLDER, ownership code E, individual
Jan 9, 2019 to Oct 24, 2024factForm ADV
← HAAVE, GORDON, CHRISTOPHEROwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 9, 2019 to Oct 24, 2024factForm ADV
← FTA HOLDINGS GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Nov 17, 2022 to Oct 24, 2024factForm ADV
← VICTORIAE, INC.OwnerMEMBER, ownership code E, domestic entity
Nov 17, 2022 to Oct 24, 2024factForm ADV

Dated events

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

Occurred
Mar 18, 2026
Advisor changed firm
Michael Fuscardo left Financial & Tax Architects, Llc for Pnc Wealth Management (registered 2026-04-02)
Form ADVobserved 6 days ago
Occurred
Feb 17, 2026
Advisor changed firm
John Bradley Fair left Financial & Tax Architects, Llc for Lpl Enterprise, Llc (registered 2026-05-15)
Form ADVobserved 6 days ago
Occurred
Feb 17, 2026
Advisor changed firm
Jonathan A Nickel left Financial & Tax Architects, Llc for Cetera Investment Advisers Llc (registered 2026-03-31)
Form ADVobserved 6 days ago
Occurred
Jan 30, 2026
Advisor headcount changed
Financial & Tax Architects, Llc reported 40 state-registered advisory representatives, up from 25 (2025-12-05 to 2026-01-30)
Form ADVobserved 6 days ago
15 IARS
Occurred
Jan 23, 2026
Advisor changed firm
Elizabeth Ann Reilly left Financial & Tax Architects, Llc for Tlg Advisors, Inc. (registered 2026-09-02)
Form ADVobserved 6 days ago
Occurred
Jun 10, 2025
Advisor changed firm
Daniel Ray Knelson left Financial & Tax Architects, Llc for Coppell Advisory Solutions Llc (registered 2025-06-06)
Form ADVobserved 6 days ago
Occurred
May 9, 2025
Advisor changed firm
Justin Wilke left Financial & Tax Architects, Llc for Q3 Advisors, Llc (registered 2026-08-24)
Form ADVobserved 6 days ago
Occurred
Feb 11, 2025
Advisor changed firm
Shawn Michael Maloney left Financial & Tax Architects, Llc for Ae Wealth Management, Llc (registered 2025-02-14)
Form ADVobserved 6 days ago
Occurred
Nov 8, 2024
Advisor changed firm
William Clark Smith left Financial & Tax Architects, Llc for Ae Wealth Management, Llc (registered 2025-02-19)
Form ADVobserved 6 days ago
Occurred
Oct 24, 2024
Control person left
Anne Cathleen Wrisberg (Chief Compliance Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2024-08-26, absent 2024-10-24)
Form ADVobserved 6 days ago
Occurred
Jul 30, 2024
Control person joined
Anne Cathleen Wrisberg (Chief Compliance Officer) appeared on Schedule A of Financial & Tax Architects, Llc
Form ADVobserved 6 days ago
Occurred
Jul 15, 2024
Advisor changed firm
Nicholas Berendt Rothrock left Financial & Tax Architects, Llc for Foundations Investment Advisors Llc (registered 2025-10-30)
Form ADVobserved 6 days ago
Occurred
Jun 6, 2024
Advisor changed firm
David Allen Emring left Financial & Tax Architects, Llc for Pruco Securities, Llc (registered 2024-09-16)
Form ADVobserved 6 days ago
Occurred
May 20, 2024
Advisor changed firm
Daniel Upchurch left Financial & Tax Architects, Llc for Van Clemens Wealth Management, Llc (registered 2026-05-06)
Form ADVobserved 6 days ago
Occurred
Apr 10, 2024
Advisor changed firm
Spencer Schreiber Miller left Financial & Tax Architects, Llc for Avinci Wealth Management, Inc. (registered 2024-01-03)
Form ADVobserved 6 days ago
Occurred
Apr 10, 2024
Advisor changed firm
Lindahl Larry Lucas left Financial & Tax Architects, Llc for Avinci Wealth Management, Inc. (registered 2025-01-30)
Form ADVobserved 6 days ago
Occurred
Jul 14, 2023
Advisor changed firm
Michael Ybarra Rojas left Financial & Tax Architects, Llc for Brookstone Wealth Advisors, Llc (registered 2023-10-16)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Wendy J Pyne left Financial & Tax Architects, Llc for Protegro, Inc. (registered 2024-02-27)
Form ADVobserved 6 days ago
Occurred
Mar 20, 2023
Control person left
Ray James Rogers (Chief Operating Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2023-01-10, absent 2023-03-20)
Form ADVobserved 6 days ago
Occurred
Nov 17, 2022
Control person left
Vincent Andrew Claus (Chief Operating Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2022-08-10, absent 2022-11-17)
Form ADVobserved 6 days ago
Occurred
Nov 17, 2022
Control person joined
Ray James Rogers (Chief Operating Officer) appeared on Schedule A of Financial & Tax Architects, Llc
Form ADVobserved 6 days ago
Occurred
Jan 9, 2019
First Form ADV filing
Financial & Tax Architects, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 8, 2024
Financial & Tax Architects, Llc reported 16 offices beyond its principal office, up from 7 (2023-11-29 to 2024-03-08)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9656496-8dac-eb2a-3d6c-4ee8513960ad
First observed: Jan 9, 2019
Last observed: Jun 18, 2026 3 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.

FINANCIAL & TAX ARCHITECTS, LLC

CRD 119169

ST. LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d9656496-8dac-eb2a-3d6c-4ee8513960ad

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID SCOTT BROOKS

n/a

ST. LOUIS, MO

n/a

GORDON CHRISTOPHER HAAVE

Chartered Financial Analyst

ST. LOUIS, MO

Mark Robin Kukielski

n/a

ST. LOUIS, MO

n/a

JASON TODD HILL

n/a

Luther, OK

Scott M Peterson

n/a

ST. LOUIS, MO

RONALD MENDOZA

n/a

Valencia, CA

ALAN BRADLEY SCHMIDT

n/a

Edina, MN

MICHAEL BRIAN WOFSEY

n/a

ST. LOUIS, MO | COEUR D'ALENE, ID

ALAN DWAYNE JOHNSON

n/a

Largo, MD

Paul Albert Stout

n/a

Knoxville, TN

JASON JAMES SMITKA

n/a

Overland Park, KS

ERION KAFAZI

n/a

ST. LOUIS, MO

n/a

Anthony Christopher Gitcho

n/a

ST. LOUIS, MO

SEAN TIMOTHY KENNEY

n/a

ST. LOUIS, MO

n/a

CATHERINE SOO LOQUET

n/a

ST. LOUIS, MO | Newport Beach, CA

MIA KRISTINA SULAK

n/a

ST. LOUIS, MO | AGOURA HILLS, CA

n/a

GARY R DAVIS

Certified Financial Planner|Chartered Financial Consultant

LAS VEGAS, NV | ST. LOUIS, MO

ROY DAVIDSON JONES

n/a

Florence, SC | ST. LOUIS, MO

RYAN LEIGH HILL

n/a

EDMOND, OK | ST. LOUIS, MO

n/a

Justin Yoo

n/a

ST. LOUIS, MO | Frederick, MD

n/a

Robert Cain Atkinson

n/a

Murfreesboro, TN | ST. LOUIS, MO

n/a

David Terrance Anderson

n/a

Chicago, IL

n/a

Brett J Heniss

n/a

Oak Brook, IL

n/a

JAMES M FOX

n/a

ST. LOUIS, MO | Chicago, IL

DONALD GASTON

n/a

ST. LOUIS, MO

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROOKS, DAVID, SCOTT

Shareholder

yes

05/2022

Jan 9, 2019

Oct 24, 2024

BROOKS, DAVID, SCOTT

CHIEF EXECUTIVE OFFICER

yes

07/1999

Jan 9, 2019

Oct 24, 2024

FTA HOLDINGS GROUP, LLC

Member

yes

05/2022

Nov 17, 2022

Oct 24, 2024

HAAVE, GORDON, CHRISTOPHER

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

11/2016

Jan 9, 2019

Oct 24, 2024

VICTORIAE, INC.

Member

yes

05/2022

Nov 17, 2022

Oct 24, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ADVISORMAX, LLC

n/a

yes

n/a

FTA INSURANCE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Largo

United States

AGOURA HILLS

United States

COSTA MESA

United States

Lancaster

United States

Valencia

United States

Ponderay

United States

Edwardsville

United States

OVERLAND PARK

United States

EDEN PRAIRIE

United States

Springfield

United States

LAS VEGAS

United States

Edmond

United States

Edmond

United States

Tulsa

United States

Franklin

United States

Knoxville

United States

Lebanon

United States

Murfreesboro

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 30, 2026

$506M

n/a

2024

Mar 20, 2025

$443M

n/a

2023

Mar 8, 2024

$379M

$346M

n/a

2022

Mar 20, 2023

$317M

$298M

n/a

2021

Mar 31, 2022

$269M

n/a

2020

Mar 31, 2021

$184M

n/a

2019

Mar 19, 2020

$151M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

10.8%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$506M

$443M

14.3%

$317M

16.9%