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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SEC-registered adviser
S•• L•••• F•••••••• P••••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Dec 13, 2011 · 25 filings
SEC status approved since Jul 5, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$0 as of Aug 18, 2026
Dec 13, 2011$30.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Aug 18, 2026
Nov 29, 20184 then
Employees (5.A)9 as of Aug 18, 2026
Nov 29, 201810 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• D•••• H•••Certified Financial Planner | Chesterfield, Mo | Jun 18, 1996 | 46 y | 0 |
| C•••• D••••• H•••Certified Financial Planner | Chesterfield, Mo | Oct 1, 1997 | 29 y | 0 |
| M•••••• J••••• J••••••Certified Financial Planner | Chesterfield, Mo | Jun 28, 2013 | 17 y | 2 |
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
- M•••••• J••••• J•••••• from E•••••••• A•••••••• L••Jun 28, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• C••••• D••••• · Owner/Vice-President/Treasurer/Ccocontrolsince 08/2000 · owns 25% to 50%
- H•••• T••••••• D•••• · Owner/President/Secretarycontrolsince 01/2017 · owns 25% to 50%
- K••••••• T•••••• A•••••• · Ownercontrolsince 02/1977 · owns 25% to 50%
Related persons
Schedule D 7.A
- S•• L•••• F•••••••• P••••••• A•••• M••••••••• L••investment adviseryRAUM $234M
Advisers that list S•• L•••• F•••••••• P••••••• I••• as a related person
- 106999 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chesterfield, Mo · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Aug 18, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-11-25, no on the filing of 2026-08-18peers: other advisers, under $100M (666)
What changed
consecutive filings, newest first
- Individual clients · 18.0 to unsetNov 25, 2025 to Aug 18, 2026
- Accounts · 35 to 0Nov 25, 2025 to Aug 18, 2026
- Discretionary RAUM · $5.7M to $0Nov 25, 2025 to Aug 18, 2026
- Individual RAUM · 5689546.0 to unsetNov 25, 2025 to Aug 18, 2026
- RAUM · $5.7M to $0Nov 25, 2025 to Aug 18, 2026
- Accounts · 36 to 35Dec 12, 2024 to Nov 25, 2025
- Individual clients · 22 to 18Dec 12, 2024 to Nov 25, 2025
- Financial planning clients · 251-500 to 251-500Dec 12, 2024 to Nov 25, 2025
- Discretionary RAUM · $5.6M to $5.7MDec 12, 2024 to Nov 25, 2025
- Individual RAUM · $5.6M to $5.7MDec 12, 2024 to Nov 25, 2025
- RAUM · $5.6M to $5.7MDec 12, 2024 to Nov 25, 2025
- Accounts · 43 to 36Apr 29, 2024 to Dec 12, 2024
- Advisory activities · 4 to 2Apr 29, 2024 to Dec 12, 2024
- Individual clients · 26 to 22Apr 29, 2024 to Dec 12, 2024
- Commission compensation · true to falseApr 29, 2024 to Dec 12, 2024
- Employees · 10 to 9Apr 29, 2024 to Dec 12, 2024
- Discretionary RAUM · $5.3M to $5.6MApr 29, 2024 to Dec 12, 2024
- Individual RAUM · $5.3M to $5.6MApr 29, 2024 to Dec 12, 2024
- RAUM · $5.3M to $5.6MApr 29, 2024 to Dec 12, 2024
- Accounts · 46 to 43Nov 21, 2022 to Nov 20, 2023
- BD registered reps · 1 to 0Nov 21, 2022 to Nov 20, 2023
- Discretionary RAUM · $5.1M to $5.3MNov 21, 2022 to Nov 20, 2023
- Individual RAUM · $5.1M to $5.3MNov 21, 2022 to Nov 20, 2023
- RAUM · $5.1M to $5.3MNov 21, 2022 to Nov 20, 2023
- Accounts · 79 to 46Nov 23, 2021 to Nov 21, 2022
- Individual clients · 29 to 26Nov 23, 2021 to Nov 21, 2022
- Discretionary RAUM · $9.2M to $5.1MNov 23, 2021 to Nov 21, 2022
- Individual RAUM · $9.2M to $5.1MNov 23, 2021 to Nov 21, 2022
- RAUM · $9.2M to $5.1MNov 23, 2021 to Nov 21, 2022
- Accounts · 63 to 79Nov 9, 2020 to Nov 23, 2021
- Individual clients · 32 to 29Nov 9, 2020 to Nov 23, 2021
- Discretionary RAUM · $7.6M to $9.2MNov 9, 2020 to Nov 23, 2021
- Individual RAUM · $7.6M to $9.2MNov 9, 2020 to Nov 23, 2021
- RAUM · $7.6M to $9.2MNov 9, 2020 to Nov 23, 2021
- Accounts · 72 to 63Jul 15, 2020 to Nov 9, 2020
- Individual clients · 34 to 32Jul 15, 2020 to Nov 9, 2020
- Employees · 11 to 10Jul 15, 2020 to Nov 9, 2020
- Discretionary RAUM · $11.1M to $7.6MJul 15, 2020 to Nov 9, 2020
- Individual RAUM · $11.1M to $7.6MJul 15, 2020 to Nov 9, 2020
- RAUM · $11.1M to $7.6MJul 15, 2020 to Nov 9, 2020
Signals
1 dated events
- S•• L•••• F•••••••• P••••••• I••• filed its initial SEC registration (Form ADV)May 31, 2018 · First SEC registration · fact
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
- Website
- STLFP.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 636-532-3900reportedpublic record, Form ADV, Aug 18, 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
- No RAUM reportedderiveda 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