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
Datatex Investment Services Inc
Latest filing Mar 28, 2023
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$39.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$29.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$39.0M as of Mar 28, 2022
Mar 30, 2012$31.0M then
HNW client RAUM$14.6M as of Mar 28, 2022
Mar 29, 2018$2.4M then
State-registered IARs (5.B.3)25 as of Mar 28, 2022
Apr 1, 20133 then
Employees (5.A)25 as of Mar 28, 2022
Apr 1, 20134 then
Private funds: no history
RAUM -14% over the last fiscal year+2.4% a year over threeIARs 16 to 25
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $1.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $278,467derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 25.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +56%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -54%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$14.8M38%
- High-net-worth individuals$14.6M38%
- Corporations and businesses$7.9M20%
- Pension and profit-sharing plans$1.7M4.3%
- Individual clients
- 81reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 140reported
- Financial planning clients
- 0reported
- 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
- Robert James Tock to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- John Thomas Sullivan to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Matthew Joseph Ott to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to affiliated broker-dealer or bank
- Dale Frederick Kleekamp to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Douglas Michael Simms to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Justin Andrew Eggenberger to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Kenneth Bruce Cohen to Huntleigh Advisors, Inc.Mar 28, 2023 · Other
- James Ronald Sanford to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Greg Alfred Overschmidt to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Phillip Kimball Carver to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- William James Rodosky to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Larry David Little to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Daniel Jerome Lecure to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Alan James Ferrari to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Christopher Cory O'Connell to Huntleigh Advisors, Inc.Mar 28, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Matthew Joseph Ott from Ameriprise Financial Services, LLCOct 6, 2021 · Affiliated broker-dealer or bank to independent RIA
- Daniel Jerome Lecure from Avantax Advisory ServicesMar 12, 2020 · Other
- A C Brown from Edward JonesSep 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- Douglas Michael Simms from National Planning Corporation ("Npc Of America" In Fl & Ny)Oct 24, 2017 · Other
- Kenneth Bruce Cohen from Umb Financial Services, Inc.Dec 13, 2016 · Other
- James Frederick Sayler from Schowalter & Jabouri Financial Services, Inc.Jul 16, 2013 · Other
- Douglas Michael Simms from Cuttingedge AdvisorsSep 1, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Huntleigh Advisors, Inc.Mar 28, 2023 · Dwight, Il
- 13 left for Huntleigh Advisors, Inc.Mar 28, 2023 · Clayton, Mo · Firm absorbed
- 2 left for Huntleigh Advisors, Inc.Mar 28, 2023 · Cordova, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lewis Robert Chambers · Presidentcontrolsince 02/1988 · owns 75% or more
- Cory Christopher O'Connell · Chief Compliance Officercontrolsince 02/2006 · owns less than 5%
- David Larry Little · Directorsince 06/1991 · owns 10% to 25%
Related persons
Schedule D 7.A
- Huntleigh Advisors, Inc.investment advisernRAUM $782M
- Huntleigh Securities Corporationbroker-dealern
- K. W. Chambers & Co.broker-dealerreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 225 to 140Mar 30, 2021 to Mar 28, 2022
- Advisory employees · 16 to 25Mar 30, 2021 to Mar 28, 2022
- BD registered reps · 16 to 25Mar 30, 2021 to Mar 28, 2022
- HNW clients · 109 to 7Mar 30, 2021 to Mar 28, 2022
- Pension plan clients · 1.0 to unsetMar 30, 2021 to Mar 28, 2022
- Employees · 16 to 25Mar 30, 2021 to Mar 28, 2022
- Insurance-licensed employees · 16 to 25Mar 30, 2021 to Mar 28, 2022
- State-registered IARs · 16 to 25Mar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $45.6M to $39.0MMar 30, 2021 to Mar 28, 2022
- HNW RAUM · $29.4M to $14.6MMar 30, 2021 to Mar 28, 2022
- Individual RAUM · $7.2M to $14.8MMar 30, 2021 to Mar 28, 2022
- Pension RAUM · $1.2M to $1.7MMar 30, 2021 to Mar 28, 2022
- RAUM · $45.6M to $39.0MMar 30, 2021 to Mar 28, 2022
- Accounts · 291 to 225Sep 11, 2020 to Mar 30, 2021
- Corporate clients · 16 to 7Sep 11, 2020 to Mar 30, 2021
- HNW clients · 15 to 109Sep 11, 2020 to Mar 30, 2021
- Individual clients · 260 to 81Sep 11, 2020 to Mar 30, 2021
- Pension plan clients · unset to 1.0Sep 11, 2020 to Mar 30, 2021
- Commission compensation · true to falseSep 11, 2020 to Mar 30, 2021
- Employees · 18 to 16Sep 11, 2020 to Mar 30, 2021
- Insurance-licensed employees · 6 to 16Sep 11, 2020 to Mar 30, 2021
- Discretionary RAUM · $26.7M to $45.6MSep 11, 2020 to Mar 30, 2021
- HNW RAUM · $2.6M to $29.4MSep 11, 2020 to Mar 30, 2021
- Individual RAUM · $22.7M to $7.2MSep 11, 2020 to Mar 30, 2021
- Pension RAUM · unset to 1230404.0Sep 11, 2020 to Mar 30, 2021
- RAUM · $26.7M to $45.6MSep 11, 2020 to Mar 30, 2021
- Accounts · 581 to 291Sep 6, 2019 to Mar 27, 2020
- Advisory employees · 4 to 16Sep 6, 2019 to Mar 27, 2020
- BD registered reps · 3 to 16Sep 6, 2019 to Mar 27, 2020
- Corporate clients · 25 to 16Sep 6, 2019 to Mar 27, 2020
- HNW clients · 28 to 15Sep 6, 2019 to Mar 27, 2020
- Individual clients · 466 to 260Sep 6, 2019 to Mar 27, 2020
- Employees · 4 to 18Sep 6, 2019 to Mar 27, 2020
- Insurance-licensed employees · 0 to 6Sep 6, 2019 to Mar 27, 2020
- State-registered IARs · 3 to 16Sep 6, 2019 to Mar 27, 2020
- Other offices · 1 to 0Sep 6, 2019 to Mar 27, 2020
- Discretionary RAUM · $36.3M to $26.7MSep 6, 2019 to Mar 27, 2020
- HNW RAUM · $3.5M to $2.6MSep 6, 2019 to Mar 27, 2020
- Individual RAUM · $30.9M to $22.7MSep 6, 2019 to Mar 27, 2020
- RAUM · $36.3M to $26.7MSep 6, 2019 to Mar 27, 2020
Signals
27 dated events
- William James Rodosky left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-07)Mar 28, 2023 · Advisor changed firm · fact
- James Ross Gulla left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2025-04-21)Mar 28, 2023 · Advisor changed firm · fact
- A C Brown left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-06)Mar 28, 2023 · Advisor changed firm · fact
- Robert James Tock left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-08)Mar 28, 2023 · Advisor changed firm · fact
- John Thomas Sullivan left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-07)Mar 28, 2023 · Advisor changed firm · fact
- Justin Andrew Eggenberger left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-04)Mar 28, 2023 · Advisor changed firm · fact
- Daniel Jerome Lecure left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2020-08-28)Mar 28, 2023 · Advisor changed firm · fact
- Larry David Little left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-07)Mar 28, 2023 · Advisor changed firm · fact
- Pamela Jane Johnston left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2006-01-18)Mar 28, 2023 · Advisor changed firm · fact
- Alan James Ferrari left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-04)Mar 28, 2023 · Advisor changed firm · fact
- Dale Frederick Kleekamp left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-08)Mar 28, 2023 · Advisor changed firm · fact
- Kenneth Bruce Cohen left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2016-12-13)Mar 28, 2023 · Advisor changed firm · fact
- James Ronald Sanford left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2019-05-30)Mar 28, 2023 · Advisor changed firm · fact
- Greg Alfred Overschmidt left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-08)Mar 28, 2023 · Advisor changed firm · fact
- Phillip Kimball Carver left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-12)Mar 28, 2023 · Advisor changed firm · fact
- Matthew Joseph Ott left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-10-06)Mar 28, 2023 · Advisor changed firm · fact
- Douglas Michael Simms left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2021-01-08)Mar 28, 2023 · Advisor changed firm · fact
- Christopher Cory O'Connell left Datatex Investment Services Inc for Huntleigh Advisors, Inc. (registered 2023-10-16)Mar 28, 2023 · Advisor changed firm · fact
- Michael Barry Rowan no longer registered at Datatex Investment Services Inc; no later IA registration on IAPDMar 28, 2023 · Advisor departure · fact
- Robert Lewis Chambers no longer registered at Datatex Investment Services Inc; no later IA registration on IAPDMar 28, 2023 · Advisor departure · fact
- Jerry Francis Costello no longer registered at Datatex Investment Services Inc; no later IA registration on IAPDMar 28, 2023 · Advisor departure · fact
- Eric Allen Wood no longer registered at Datatex Investment Services Inc; no later IA registration on IAPDMar 28, 2023 · Advisor departure · fact
- James Michael Terschluse no longer registered at Datatex Investment Services Inc; no later IA registration on IAPDMar 28, 2023 · Advisor departure · fact
- Datatex Investment Services Inc's advisors moved to Huntleigh Advisors, Inc. (Clayton, MO): 14 of 23 registered, on the same dayMar 28, 2023 · Firm absorbed (people side) · derived
- 2 advisors left Datatex Investment Services Inc (Dwight, IL) for Huntleigh Advisors, Inc. on the same dayMar 28, 2023 · Team lift-out · derived
- 2 advisors left Datatex Investment Services Inc (Cordova, TN) for Huntleigh Advisors, Inc. on the same dayMar 28, 2023 · Team lift-out · derived
- Datatex Investment Services Inc reported 16 state-registered advisory representatives, up from 3 (2019-09-06 to 2020-03-27)Mar 27, 2020 · 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