DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

P•••••••• W••••• P•••••••• L••

CRD 331565

CLAYTON, 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:ee30e881-4c75-661c-2f42-2a6b6c117ed0

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 12
On other graphs: 0
Observed: May 15, 2024 to Sep 17, 2026
16 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

P•••••••• W••••• P•••••••• L•• reported RAUM $1.8B, up 86% from $961.9M (2026-05-01 to 2026-06-24)

Dated 2026-06-24 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJun 24, 2026 · seen 7 days ago

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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 29
RAUM per advisor: $61.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••••• M•••••• C•••••••	n/a	CLAYTON, MO	1	24	2	no
C••••••••• H•••• G••••••	Certified Financial Planner	CLAYTON, MO	1	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• E•••••• M••••••	OWNER \| CHIEF OPERATING OFFICER	Na	yes	04/2024	Jul 2, 2026	Jul 2, 2026
G••••••• C••••••••• H••••	OWNER / CHIEF COMPLIANCE OFFICER	A	yes	04/2024	Jul 2, 2026	Jul 2, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
9	0	9	0.0%	2	0	0	25	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	$1.8B	$409M	336.9%	n/a	n/a	49	6	14	4

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••••••• F•••••••• P•••••••	2	Jul 8, 2026	Jun 19, 2026	TUCSON, AZ	Team lift out	RIA to RIA	40.0%
S••••••••• W••••• M••••••••• L••	2	Jun 10, 2026	May 1, 2026

Relationships

Registered with (29)

← MICHELLE J••• GESSNERAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← D••••• Mikeal VincentAdvisorregistration: current employment
Jun 29, 2026 to presentfactForm ADV
← PATRICK J••• ZUMBUSCHAdvisorregistration: current employment
Jun 26, 2026 to presentfactForm ADV
← D•••••• M•••• K••••••••

Dated events

Occurred
Jul 8, 2026
Team lift-out
2 advisors left W••••••••• F•••••••• P••••••• (Tucson, AZ) for P•••••••• W••••• P•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 24, 2026
Regulatory AUM changed
P•••••••• W••••• P•••••••• L•• reported RAUM $1.8B, up 86% from $961.9M (2026-05-01 to 2026-06-24)
Form ADVobserved 7 days ago
$823M
Occurred
Jun 24, 2026
Advisor headcount changed
P•••••••• W••••• P•••••••• L•• reported 29 state-registered advisory representatives, up from 14 (2026-05-01 to 2026-06-24)
Form ADVobserved 7 days ago
15 IARS

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee30e881-4c75-661c-2f42-2a6b6c117ed0
First observed: May 15, 2024
Last observed: Sep 17, 2026 5 days 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.