DFX Intelligence
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SEC-registered adviser
J•• C•••••• M••••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 20, 2012 · 23 filings
SEC status approved since Mar 5, 1984
RAUM
$390M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$378M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$390M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$390M as of Mar 10, 2026
Mar 20, 2012$116M then
HNW client RAUM$304M as of Mar 10, 2026
Mar 13, 2018$118M then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Mar 20, 20120 then
Employees (5.A)3 as of Mar 10, 2026
Feb 27, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $390MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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$304M78%
- Individuals$74.3M19%
- Charitable organizations$11.3M2.9%
- Corporations and businesses$195,7970.1%
- Individual clients
- 44reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 183reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• J• P••••••• | Columbia, Mo | May 28, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G••••••• L••• · Director/President/Secretary/Chief Compliance Officercontrolsince 12/2016 · owns 50% to 75%
- P•••••••• C••••••••• J••••• · Director/Treasurersince 04/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 180 to 183Jun 5, 2025 to Mar 10, 2026
- Advisory employees · 2 to 3Jun 5, 2025 to Mar 10, 2026
- HNW clients · 22 to 23Jun 5, 2025 to Mar 10, 2026
- Individual clients · 39 to 44Jun 5, 2025 to Mar 10, 2026
- Employees · 2 to 3Jun 5, 2025 to Mar 10, 2026
- Discretionary RAUM · $349M to $390MJun 5, 2025 to Mar 10, 2026
- HNW RAUM · $277M to $304MJun 5, 2025 to Mar 10, 2026
- Individual RAUM · $61.8M to $74.3MJun 5, 2025 to Mar 10, 2026
- RAUM · $349M to $390MJun 5, 2025 to Mar 10, 2026
- Financial planning clients · unset to Mar 6, 2025 to Jun 5, 2025
- Discretionary RAUM · $312M to $349MMar 6, 2024 to Mar 6, 2025
- HNW RAUM · $250M to $277MMar 6, 2024 to Mar 6, 2025
- Individual RAUM · $53.9M to $61.8MMar 6, 2024 to Mar 6, 2025
- RAUM · $312M to $349MMar 6, 2024 to Mar 6, 2025
- Accounts · 184 to 180Mar 14, 2023 to Mar 6, 2024
- HNW clients · 21 to 22Mar 14, 2023 to Mar 6, 2024
- Individual clients · 42 to 39Mar 14, 2023 to Mar 6, 2024
- Discretionary RAUM · $287M to $312MMar 14, 2023 to Mar 6, 2024
- HNW RAUM · $229M to $250MMar 14, 2023 to Mar 6, 2024
- Individual RAUM · $49.5M to $53.9MMar 14, 2023 to Mar 6, 2024
- RAUM · $287M to $312MMar 14, 2023 to Mar 6, 2024
- Accounts · 186 to 184Jun 16, 2022 to Mar 14, 2023
- HNW clients · 18 to 21Jun 16, 2022 to Mar 14, 2023
- Individual clients · 35 to 42Jun 16, 2022 to Mar 14, 2023
- Discretionary RAUM · $295M to $287MJun 16, 2022 to Mar 14, 2023
- HNW RAUM · $234M to $229MJun 16, 2022 to Mar 14, 2023
- Individual RAUM · $51.7M to $49.5MJun 16, 2022 to Mar 14, 2023
- RAUM · $295M to $287MJun 16, 2022 to Mar 14, 2023
- Accounts · 56 to 186Mar 25, 2021 to Mar 22, 2022
- HNW clients · 15 to 18Mar 25, 2021 to Mar 22, 2022
- Individual clients · 37 to 35Mar 25, 2021 to Mar 22, 2022
- Discretionary RAUM · $248M to $295MMar 25, 2021 to Mar 22, 2022
- HNW RAUM · $180M to $234MMar 25, 2021 to Mar 22, 2022
- Individual RAUM · $60.0M to $51.7MMar 25, 2021 to Mar 22, 2022
- RAUM · $248M to $295MMar 25, 2021 to Mar 22, 2022
- Accounts · 62 to 56Jun 17, 2020 to Mar 25, 2021
- HNW clients · 14 to 15Jun 17, 2020 to Mar 25, 2021
- Individual clients · 44 to 37Jun 17, 2020 to Mar 25, 2021
- Discretionary RAUM · $232M to $248MJun 17, 2020 to Mar 25, 2021
- HNW RAUM · $162M to $180MJun 17, 2020 to Mar 25, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- [573] 442-2763reportedpublic record, Form ADV, Mar 10, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $390Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026