DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C••••••••• W••••• M••••••••• L••

CRD 164666

DES PERES, MO

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Search this name across graphsid dfx:ria:ef8c96e3-069d-04a8-80f4-a0ab123d6c01

Data as of May 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 142
Dated events: 21
On other graphs: 0
Observed: Jul 24, 2012 to May 4, 2026
142 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=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=102.0
Regulatory AUM: $4.9B••• Locked
Discretionary RAUM: $4.9B
Private client RAUM: $4.8Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 90
RAUM per advisor: $54.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••••• A••••• T•••••••	n/a	SPRINGD•••, AR \| BENTONVILLE, AR \| DES PERES, MO \| Rogers, AR	17	23	2	yes
E••• S•••••• S••••	Certified Financial Planner	DES PERES, MO \| Ventura, CA \| VENTURA, CA	15	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• T•••••• S•••	CHIEF COMPLIANCE OFFICER & MEMBER	Na	yes	01/2018	Jan 22, 2018	Mar 28, 2024
K•••••• J•••••• M••••••	MANAGING MEMBER	C	yes	08/2012	Jul 24, 2012	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DES PERES	Mo	United States	18	no
ST PETERS	Mo	United States	14	yes
Springfield	Mo	United States	6	yes
Columbia	IL	United States	5	yes
Tulsa	Ok	United States

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
1	3	-2	3.3%	0	0	0	5	8

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	$4.9B	$4.1B	20.9%	$3.1B	16.5%	103	139	45	42

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••••• A••••••• S•••••••• L••	2	May 1, 2023	May 1, 2023	DES PERES, MO	Team lift out	RIA to ibd	2.4%
H•••••• I••••••••• I•••	2	Jan 31, 2019	Jan 17, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••• J••••	2	Aug 12, 2016	Sep 1, 2016	ST LOUIS, MO	Team lift out	Other	0.0%

Relationships

showing 80 of 142

Registered with (80)

← S••••• M•••••• T•••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← J•••• W••••• B•••••Advisorregistration: current employment
Oct 8, 2025 to presentfactForm ADV
← B••••• N• W••••••••Advisorregistration: current employment
Mar 18, 2025 to presentfactForm ADV
← J••••••• R•••••• R••••••••

Dated events

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

Occurred
Jun 2, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef8c96e3-069d-04a8-80f4-a0ab123d6c01
First observed: Jul 24, 2012
Last observed: May 4, 2026 4 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.