DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

O•••• S••••• I••••••••• A•••••••• L••

CRD 166710

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:e83d4170-b7b4-f0ba-1284-b2591b8163d0

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 21
On other graphs: 0
Observed: Mar 11, 2013 to Mar 26, 2026
20 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=151.0
Regulatory AUM: $204B••• Locked
Discretionary RAUM: $204B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 232

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• A••••• D•••	Treasurer	Na	yes	03/2021	Mar 31, 2021	Mar 28, 2024
B••••••• L•••• M•••••	Secretary	Na	yes	03/2024	Mar 28, 2024	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• D• J•••• • C••• L•••	n/a	National bd RIA	$1014B	N	yes	n/a
E•• I•••••••• C••••••• I•••	n/a	n/a	n/a	N	yes	n/a
E••••• J••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Tempe	Az	United States	9	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$204B	$170B	20.2%	$149B	11.0%	232	218	1	1

Relationships

Affiliated with (3)

← E••••• J••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ E••••• J••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← P••••••• R•••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (5)

← K•••••••• T•••••• C•••••••••Owner

Dated events

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

Occurred
Mar 26, 2026
Advisor headcount changed
••• Locked
Form ADVobserved 8 days ago
36 IARS
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e83d4170-b7b4-f0ba-1284-b2591b8163d0
First observed: Mar 11, 2013
Last observed: Mar 26, 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.