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.

Former SEC-registered adviser

Passport Research, Ltd.

Former SEC-registered adviserSt. Louis, MissouriCRD 105139SEC 801-16217IAPD

Latest filing Mar 30, 2022

First filing on the tape Mar 29, 2012 · 27 filings

RAUM

$36B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

136

136 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$36B as of Mar 30, 2022

Mar 29, 2012$18B then

HNW client RAUM$0 as of Mar 30, 2022

Mar 28, 2018$0 then

State-registered IARs (5.B.3)101 as of Mar 30, 2022

Mar 29, 20120 then

Employees (5.A)136 as of Mar 30, 2022

Mar 25, 201321 then

Private funds: no history

RAUM +4.2% over the last fiscal year+6.9% a year over threeIARs 74 to 101

Practice profile

derived from the filing of Mar 30, 2022; every figure names its basis

RAUM per advisor: $353MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $36BderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 50.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +4.2%derivedbetween the last two annual amendments
Advisor growth, one year: +36%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for investment companies, selection of other advisersreportedItem 5.G
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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$36B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Dale Aaron Albritton · Treasurercontrol
since 03/2021 · owns less than 5%
J Alan Herzog · Chief Compliance Officercontrol
since 01/2020 · owns less than 5%
Christopher Thomas Kersting · Presidentcontrol
since 03/2020 · owns less than 5%
D Lynette Mccloud · Secretarycontrol
since 01/2017 · owns less than 5%

Entity owners

Edward Jones · Limited Partner
direct · owns 25% to 50%
Passport Holdings LLC · General Partner
direct · owns 50% to 75%
Edj Holding Company, Inc. · General Partner
indirect · owns F of Edward D. Jones & Co., L.P.
Edward Jones · Sole Member
indirect · owns 75% or more of Passport Holdings LLC
Jfc Holding Company, Inc. · Sole Shareholder
indirect · owns 75% or more of Edj Holding Company, Inc.
The Jones Financial Companies, L.L.L.P. · Limited Partner
indirect · owns 75% or more of Edward D. Jones & Co., L.P. · public reporting company
The Jones Financial Companies, L.L.L.P. · Sole Shareholder
indirect · owns 75% or more of Jfc Holding Company, Inc. · public reporting company

Related persons

Schedule D 7.A

Edward Jones
broker-dealerinvestment adviserreal estateyRAUM $1014B
Edward Jones Insurance Agency Of California, L.L.C.
real estaten
Edward Jones Insurance Agency Of Massachusetts, L.L.C.
real estaten
Edward Jones Insurance Agency Of New Mexico, L.L.C.
real estaten
Edward Jones Trust Company
n
Olive Street Investment Advisers, LLC
investment adviserbanknRAUM $204B

Offices

Schedule D 1.F, the 25 largest

Tempe, AZ7 employees

What changed

consecutive filings, newest first

Advisory employees · 121 to 136
Jan 26, 2022 to Mar 30, 2022
BD registered reps · 86 to 91
Jan 26, 2022 to Mar 30, 2022
Employees · 121 to 136
Jan 26, 2022 to Mar 30, 2022
State-registered IARs · 74 to 101
Jan 26, 2022 to Mar 30, 2022
Discretionary RAUM · $34B to $36B
Jan 26, 2022 to Mar 30, 2022
RAUM · $34B to $36B
Jan 26, 2022 to Mar 30, 2022
Advisory employees · 109 to 121
Dec 18, 2020 to Mar 31, 2021
BD registered reps · 71 to 86
Dec 18, 2020 to Mar 31, 2021
Employees · 109 to 121
Dec 18, 2020 to Mar 31, 2021
State-registered IARs · 60 to 74
Dec 18, 2020 to Mar 31, 2021
Discretionary RAUM · $30B to $34B
Dec 18, 2020 to Mar 31, 2021
RAUM · $30B to $34B
Dec 18, 2020 to Mar 31, 2021
HNW clients · unset to 0.0
Mar 27, 2020 to Dec 18, 2020
Individual clients · unset to 0.0
Mar 27, 2020 to Dec 18, 2020
Advisory employees · 101 to 109
Feb 11, 2020 to Mar 27, 2020
BD registered reps · 76 to 71
Feb 11, 2020 to Mar 27, 2020
Employees · 101 to 109
Feb 11, 2020 to Mar 27, 2020
State-registered IARs · 63 to 60
Feb 11, 2020 to Mar 27, 2020
Discretionary RAUM · $29B to $30B
Feb 11, 2020 to Mar 27, 2020
RAUM · $29B to $30B
Feb 11, 2020 to Mar 27, 2020
Advisory employees · 92 to 101
Sep 26, 2018 to Mar 28, 2019
BD registered reps · 69 to 76
Sep 26, 2018 to Mar 28, 2019
Employees · 92 to 101
Sep 26, 2018 to Mar 28, 2019
State-registered IARs · 60 to 63
Sep 26, 2018 to Mar 28, 2019
Discretionary RAUM · $23B to $29B
Sep 26, 2018 to Mar 28, 2019
RAUM · $23B to $29B
Sep 26, 2018 to Mar 28, 2019
Advisory employees · 81 to 92
Nov 28, 2017 to Mar 28, 2018
BD registered reps · 67 to 69
Nov 28, 2017 to Mar 28, 2018
Employees · 81 to 92
Nov 28, 2017 to Mar 28, 2018
Insurance-licensed employees · 51 to 0
Nov 28, 2017 to Mar 28, 2018
Financial planning clients · 0 to unset
Nov 28, 2017 to Mar 28, 2018
State-registered IARs · 0 to 60
Nov 28, 2017 to Mar 28, 2018
Discretionary RAUM · $21B to $23B
Nov 28, 2017 to Mar 28, 2018
RAUM · $21B to $23B
Nov 28, 2017 to Mar 28, 2018
Financial planning clients · unset to 0
Mar 31, 2017 to Nov 28, 2017
Other offices · unset to 1.0
Mar 31, 2017 to Nov 28, 2017
HNW RAUM · unset to 0.0
Mar 31, 2017 to Nov 28, 2017
Individual RAUM · unset to 0.0
Mar 31, 2017 to Nov 28, 2017
Pension RAUM · unset to 0.0
Mar 31, 2017 to Nov 28, 2017
Pooled vehicle RAUM · unset to 0.0
Mar 31, 2017 to Nov 28, 2017

Signals

11 dated events

Passport Research, Ltd. reported 101 state-registered advisory representatives, up from 74 (2022-01-26 to 2022-03-30)
Mar 30, 2022 · Advisor headcount change · derived
Joseph Bryan Luebbert (Vice President) no longer on Schedule A of Passport Research, Ltd. (listed 2021-03-31, absent 2021-07-30)
Jul 30, 2021 · Control person left · inference
Passport Research, Ltd. reported 74 state-registered advisory representatives, up from 60 (2020-12-18 to 2021-03-31)
Mar 31, 2021 · Advisor headcount change · derived
Dale Aaron Albritton (Treasurer) appeared on Schedule A of Passport Research, Ltd.
Mar 31, 2021 · Control person joined · fact
Joseph Michael Besmer (Treasurer) no longer on Schedule A of Passport Research, Ltd. (listed 2020-12-18, absent 2021-03-31)
Mar 31, 2021 · Control person left · inference
Timothy Ryan Robson (President) no longer on Schedule A of Passport Research, Ltd. (listed 2020-02-11, absent 2020-03-27)
Mar 27, 2020 · Control person left · inference
Christopher Thomas Kersting (President) appeared on Schedule A of Passport Research, Ltd.
Mar 27, 2020 · Control person joined · fact
Todd Stephen Bee (Chief Compliance Officer) no longer on Schedule A of Passport Research, Ltd. (listed 2020-01-21, absent 2020-02-11)
Feb 11, 2020 · Control person left · inference
J Alan Herzog (Chief Compliance Officer) appeared on Schedule A of Passport Research, Ltd.
Feb 11, 2020 · Control person joined · fact
Passport Research, Ltd. reported RAUM $29.2B, up 28% from $22.8B (2018-09-26 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
Passport Research, Ltd. reported 60 state-registered advisory representatives, up from 0 (2017-11-28 to 2018-03-28)
Mar 28, 2018 · Advisor headcount change · derived

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