DFX Intelligence

B••• O•••• P••••••••• 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

B••• O•••• P••••••••• L••

CRD 151546

SAINT LOUIS, MO

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Search this name across graphsid dfx:ria:f21b736f-1b14-7cfe-5885-b2e068d5a061

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2011 to Mar 31, 2017
30 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $125M••• Locked
Discretionary RAUM: $125M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••••••• J••••• A•••••	MANAGER / CHIEF EXECUTIVE OFFICER	Na	yes	01/2010	Nov 11, 2011	Mar 31, 2017
W••••••••• P•••••••• L•••	Member	C	yes	01/2010	Nov 11, 2011	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• P• S••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$125M	$106M	17.5%	$118M	1.8%	3	2	n/a	n/a

Relationships

Controls (2)

← W••••••••• J••••• A•••••OwnerMANAGER / CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 11, 2011 to presentfactForm ADV
← W••••••••• P•••••••• L•••OwnerMEMBER, ownership code C, individual
Nov 11, 2011 to presentfactForm ADV

Owns (3)

← W••••••••• J••••• A•••••OwnerMEMBER, ownership code B, individual
Nov 11, 2011 to presentfactForm ADV
← W••••••••• C•••••• M••••OwnerMEMBER, ownership code B, individual

Dated events

Occurred
Apr 10, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f21b736f-1b14-7cfe-5885-b2e068d5a061
First observed: Nov 11, 2011
Last observed: Mar 31, 2017 115 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.