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
N•••• A••••••• M••••••••• C•••
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
84%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2021
Mar 30, 2012$1.1B then
HNW client RAUM$1.3B as of Mar 31, 2021
Mar 28, 2018$1.1B then
State-registered IARs (5.B.3)9 as of Mar 31, 2021
Mar 26, 20138 then
Employees (5.A)22 as of Mar 31, 2021
Mar 26, 201327 then
Private funds2 as of Mar 27, 2020
Mar 30, 20126 then
RAUM +4.5% over the last fiscal year+2.4% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
- RAUM per advisor
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $505M, 276 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B80%
- Charitable organizations$160M9.8%
- Corporations and businesses$95.5M5.8%
- Individuals$70.9M4.3%
- Pension and profit-sharing plans$1.9M0.1%
- Individual clients
- 166reported
- HNW clients
- 202reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 856reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $505M for 276 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- B•••••• A•• R••••••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · RIA to affiliated broker-dealer or bank
- F••••• J••• M••••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · RIA to affiliated broker-dealer or bank
- M••• J••••• R••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · RIA to affiliated broker-dealer or bank
- D•••• H• B•••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · RIA to affiliated broker-dealer or bank
- B••••••• P•••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · RIA to affiliated broker-dealer or bank
- D•••••• N•••• C•••••••• to T••••• P••••• W••••• M•••••••••May 31, 2019 · RIA to RIA
- W•••••• B••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Apr 2, 2019 · RIA to affiliated broker-dealer or bank
- L•• A•• G••••••• K••••• to B••••• M•••• D••••••••Dec 31, 2018 · RIA to RIA
- J•••••• M•••••• to D••••••• A••••••• L••May 9, 2018 · RIA to RIA
- A•••••• P•••• to S•••••••• A••••••• L••Feb 7, 2017 · Other
- G••• A•• S••••••• to A••••• F•••••••• A•••••••• L••Mar 23, 2016 · Other
- J•••••• A••• to W••••• M••••••••• A•••••••• L••Nov 23, 2009 · Other
Joined, latest
- B••••••• P•••• from M••••• L••Feb 11, 2020 · RIA to RIA
- B•••••• A•• R••••••• from L••• S••••• A•••••••Dec 14, 2018 · RIA to RIA
- L•• A•• G••••••• K••••• from G••••••••• F•••••••• P•••••••Nov 24, 2014 · Other
- M••• J••••• R••• from B••• O•••••••• I••••••••• A•••••••• I••Sep 24, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for W••••• E••••••••• A••••••• S•••••••• L••Apr 14, 2021 · Boston, Ma · Firm absorbed
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• C••••• F••• C• | Other Private Fund | $82.5M | 12 | Mar 30, 2012 |
| N•• C••••• F••• A•no longer reported | Other Private Fund | $68.1M | 70 | Mar 30, 2012 |
| N•• C••••• F••• B•no longer reported | Other Private Fund | $18.0M | 2 | Mar 30, 2012 |
| N•• C••••• F••• D• | Other Private Fund | $119,749 | 11 | Mar 30, 2012 |
| N•••• E•••••• I••• L•no longer reported | Private Equity Fund | $71,009 | 18 | Mar 30, 2012 |
| N•••• E•••••• N••no longer reported | Private Equity Fund | $32,993 | 20 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• H• · Managing Principalcontrolsince 01/2007 · owns 25% to 50%
- M•••••• F•••••• J• · Chief Investment Officercontrolsince 05/2011 · owns 10% to 25%
- S••••• R•••••• G••• · Chairman, Ceocontrolsince 01/2008 · owns 25% to 50%
- S•••••• B••••• E••••••• · Chief Compliance Officer, Chief Operating Officercontrolsince 07/2009 · owns 10% to 25%
- E•••• Y•••• · Director Of Equity Researchsince 09/2013 · owns less than 5%
- H••••• E•••••• D•••••• · Director Of Manager Researchsince 09/2014 · owns less than 5%
- M••••••• K••••• F• · Controllersince 04/2009 · owns less than 5%
- R•••• M•••• J••••• · Principal, Portfolio Managersince 09/2013 · owns less than 5%
- R•••••••• B••••••• A•• · Director Of Financial P•••••••since 12/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- St. Louis, MO1 employees
What changed
consecutive filings, newest first
- Accounts · 910 to 856Jun 18, 2020 to Mar 31, 2021
- Advisory activities · 5 to 4Jun 18, 2020 to Mar 31, 2021
- Corporate clients · 16 to 13Jun 18, 2020 to Mar 31, 2021
- Individual clients · 175 to 166Jun 18, 2020 to Mar 31, 2021
- Pension plan clients · 2.0 to unsetJun 18, 2020 to Mar 31, 2021
- Pooled vehicle clients · 2 to 0Jun 18, 2020 to Mar 31, 2021
- Assets in custody · $428M to $505MJun 18, 2020 to Mar 31, 2021
- Private funds · 2 to unsetJun 18, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.3B to $1.5BJun 18, 2020 to Mar 31, 2021
- HNW RAUM · $1.2B to $1.3BJun 18, 2020 to Mar 31, 2021
- Individual RAUM · $67.4M to $70.9MJun 18, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $234M to $176MJun 18, 2020 to Mar 31, 2021
- Pension RAUM · $4.3M to $1.9MJun 18, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $82.6M to $0Jun 18, 2020 to Mar 31, 2021
- RAUM · $1.6B to $1.6BJun 18, 2020 to Mar 31, 2021
- Accounts · 913 to 910Aug 7, 2019 to Mar 27, 2020
- Corporate clients · 15 to 16Aug 7, 2019 to Mar 27, 2020
- HNW clients · 181 to 202Aug 7, 2019 to Mar 27, 2020
- Individual clients · 207 to 175Aug 7, 2019 to Mar 27, 2020
- Assets in custody · $364M to $428MAug 7, 2019 to Mar 27, 2020
- Employees · 26 to 22Aug 7, 2019 to Mar 27, 2020
- Financial planning clients · 101-250 to 51-100Aug 7, 2019 to Mar 27, 2020
- State-registered IARs · 11 to 9Aug 7, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.1B to $1.3BAug 7, 2019 to Mar 27, 2020
- HNW RAUM · $940M to $1.2BAug 7, 2019 to Mar 27, 2020
- Individual RAUM · $81.4M to $67.4MAug 7, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $198M to $234MAug 7, 2019 to Mar 27, 2020
- Pension RAUM · $3.5M to $4.3MAug 7, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $73.8M to $82.6MAug 7, 2019 to Mar 27, 2020
- RAUM · $1.3B to $1.6BAug 7, 2019 to Mar 27, 2020
- Accounts · 961 to 913Feb 1, 2019 to Mar 28, 2019
- Advisory employees · 11 to 8Feb 1, 2019 to Mar 28, 2019
- Charity clients · 15 to 13Feb 1, 2019 to Mar 28, 2019
- HNW clients · 205 to 181Feb 1, 2019 to Mar 28, 2019
- Individual clients · 215 to 207Feb 1, 2019 to Mar 28, 2019
- Pension plan clients · 3 to 2Feb 1, 2019 to Mar 28, 2019
- Pooled vehicle clients · 4 to 2Feb 1, 2019 to Mar 28, 2019
- Assets in custody · $429M to $364MFeb 1, 2019 to Mar 28, 2019
- Employees · 30 to 26Feb 1, 2019 to Mar 28, 2019
- Financial planning clients · 51-100 to 101-250Feb 1, 2019 to Mar 28, 2019
Signals
2 dated events
- Garrison Lea Ann Knight (Director Of Wealth Management) no longer on Schedule A of N•••• A••••••• M••••••••• C••• (listed 2018-08-10, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
- M•••• A••••• E•••••• (Chief Compliance Officer) no longer on Schedule A of N•••• A••••••• M••••••••• C••• (listed 2018-08-10, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- N•••• A••••••• M••••••••• C••• · Private Equityshared crd · organization
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