DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B••• O•••••••• I••••••••• A•••••••• I••

Former SEC-registered adviserSt Louis, MissouriCRD 104689SEC 801-28037IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 27, 2012 · 11 filings
RAUM
$93.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$56.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$93.4M as of Mar 29, 2018
Mar 27, 2012$202M then
HNW client RAUM: $55.9M
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Mar 27, 20120 then
Employees (5.A)3 as of Mar 29, 2018
Mar 27, 20135 then
Private funds: no history
RAUM -42% over the last fiscal year-23% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$46.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-42%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$55.9M60%
  • Pension and profit-sharing plans$24.0M26%
  • Charitable organizations$10.3M11%
  • Corporations and businesses$2.4M2.6%
  • Individuals$801,2950.9%
  • Insurance companies$1520.0%
Individual clients
n/areported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $1.5M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• M•••••••• A•• · Chief Compliance Officercontrol
      since 09/2013 · owns less than 5%
    • O•••••••• J••••• V•••••• · President, Directorcontrol
      since 05/1988 · owns less than 5%
    • B•••• W••••••• H••••••••• · Shareholdercontrol
      since 06/2000 · owns 25% to 50% of I•• M••••••• L••
    • O•••••••• J••••• V•••••• · Shareholdercontrol
      since 06/2000 · owns 25% to 50% of I•• M••••••• L••
    Entity owners
    • B••• O•••••••• • C••• I••• · Shareholder
      direct · owns 75% or more
    • I•• M••••••• L•• · Shareholder
      indirect · owns 75% or more of B••• O•••••••• • C••• I•••
    Related persons
    Schedule D 7.A
    • M••••••• P••••••••• A•••••••••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 54 to 31
      Aug 11, 2017 to Mar 29, 2018
    • Advisory employees · 4 to 2
      Aug 11, 2017 to Mar 29, 2018
    • HNW clients · unset to 12.0
      Aug 11, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Aug 11, 2017 to Mar 29, 2018
    • Employees · 5 to 3
      Aug 11, 2017 to Mar 29, 2018
    • State-registered IARs · 4 to 2
      Aug 11, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Aug 11, 2017 to Mar 29, 2018
    • Discretionary RAUM · $170M to $93.4M
      Aug 11, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 55891666.0
      Aug 11, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 801295.0
      Aug 11, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 23966563.0
      Aug 11, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Aug 11, 2017 to Mar 29, 2018
    • RAUM · $170M to $93.4M
      Aug 11, 2017 to Mar 29, 2018
    • Wrap assets (manager) · unset to 1528667.0
      Aug 11, 2017 to Mar 29, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Aug 11, 2017 to Mar 29, 2018
    • Accounts · 53 to 54
      Mar 29, 2017 to Jul 13, 2017
    • Discretionary RAUM · $161M to $170M
      Mar 29, 2017 to Jul 13, 2017
    • RAUM · $161M to $170M
      Mar 29, 2017 to Jul 13, 2017
    • Accounts · 55 to 53
      Mar 30, 2016 to Mar 29, 2017
    • Employees · 4 to 5
      Mar 30, 2016 to Mar 29, 2017
    • Discretionary RAUM · $155M to $161M
      Mar 30, 2016 to Mar 29, 2017
    • RAUM · $155M to $161M
      Mar 30, 2016 to Mar 29, 2017
    • Accounts · 57 to 55
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $201M to $155M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $201M to $155M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 62 to 57
      Mar 31, 2014 to Mar 31, 2015
    • Discretionary RAUM · $214M to $201M
      Mar 31, 2014 to Mar 31, 2015
    • RAUM · $214M to $201M
      Mar 31, 2014 to Mar 31, 2015
    • Accounts · 77 to 62
      Nov 1, 2013 to Mar 31, 2014
    • Advisory employees · 5 to 4
      Nov 1, 2013 to Mar 31, 2014
    • Employees · 5 to 4
      Nov 1, 2013 to Mar 31, 2014
    • State-registered IARs · 5 to 4
      Nov 1, 2013 to Mar 31, 2014
    • Discretionary RAUM · $199M to $214M
      Nov 1, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $2.6M to $0
      Nov 1, 2013 to Mar 31, 2014
    • RAUM · $201M to $214M
      Nov 1, 2013 to Mar 31, 2014
    • Accounts · 75 to 77
      Mar 27, 2012 to Mar 27, 2013
    • Advisory employees · unset to 5.0
      Mar 27, 2012 to Mar 27, 2013
    • Employees · unset to 5.0
      Mar 27, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 5
      Mar 27, 2012 to Mar 27, 2013
    • Discretionary RAUM · $199M to $199M
      Mar 27, 2012 to Mar 27, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026