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

H•• A•••••••• I••

Former SEC-registered adviserSpringfield, MissouriCRD 106691SEC 801-38828IAPD
Latest filing Jul 11, 2022
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$917M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$903M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$917M as of Mar 17, 2022
Mar 29, 2012$162M then
HNW client RAUM$688M as of Mar 17, 2022
Mar 28, 2018$339M then
State-registered IARs (5.B.3)13 as of Mar 17, 2022
Mar 19, 20137 then
Employees (5.A)13 as of Mar 17, 2022
Mar 19, 20137 then
Private funds: no history
RAUM +27% over the last fiscal year+24% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Jul 11, 2022; every figure names its basis
RAUM per advisor
$70.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$400,423derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
+18%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Financial planning clients
721reportedItem 5.H
Custody
$517M, 1,252 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$688M75%
  • Individuals$214M23%
  • Corporations and businesses$14.4M1.6%
Individual clients
459reported
HNW clients
256reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,290reported
Financial planning clients
721reported
Wrap fee programs
noreported
Custody of client assets
$517M for 1,252 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• J•••• J•••••• · Treasurercontrol
      since 01/2018 · owns less than 5%
    • S••••• M••••••• L•• · Chief Technology Officercontrol
      since 01/2018 · owns less than 5%
    • Y••••• D•••• W•••••• · Secretarycontrol
      since 01/2018 · owns less than 5%
    • L••• T••••••• Y••••• · Chief Compliance Officer
      since 03/2018 · owns less than 5%
    • S••••••••• J•••• B•••• · President / Ceo
      since 01/2018 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Branson, MO3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,997 to 2,290
      Jun 25, 2021 to Mar 17, 2022
    • Advisory employees · 11 to 13
      Jun 25, 2021 to Mar 17, 2022
    • Advisory activities · 4 to 3
      Jun 25, 2021 to Mar 17, 2022
    • Corporate clients · 8 to 6
      Jun 25, 2021 to Mar 17, 2022
    • HNW clients · 193 to 256
      Jun 25, 2021 to Mar 17, 2022
    • Individual clients · 422 to 459
      Jun 25, 2021 to Mar 17, 2022
    • Pension plan clients · 5 to 0
      Jun 25, 2021 to Mar 17, 2022
    • Commission compensation · true to false
      Jun 25, 2021 to Mar 17, 2022
    • Assets in custody · $384M to $517M
      Jun 25, 2021 to Mar 17, 2022
    • State-registered IARs · 11 to 13
      Jun 25, 2021 to Mar 17, 2022
    • Discretionary RAUM · $704M to $890M
      Jun 25, 2021 to Mar 17, 2022
    • HNW RAUM · $191M to $688M
      Jun 25, 2021 to Mar 17, 2022
    • Individual RAUM · $513M to $214M
      Jun 25, 2021 to Mar 17, 2022
    • Non-discretionary RAUM · $17.6M to $27.5M
      Jun 25, 2021 to Mar 17, 2022
    • Pension RAUM · 1239692.0 to unset
      Jun 25, 2021 to Mar 17, 2022
    • RAUM · $721M to $917M
      Jun 25, 2021 to Mar 17, 2022
    • Assets in custody · unset to 384094760.0
      Mar 23, 2021 to Jun 25, 2021
    • Custody of client assets · false to true
      Mar 23, 2021 to Jun 25, 2021
    • Accounts · 1,588 to 1,997
      Jun 29, 2020 to Mar 23, 2021
    • Advisory employees · 10 to 11
      Jun 29, 2020 to Mar 23, 2021
    • BD registered reps · 12 to 13
      Jun 29, 2020 to Mar 23, 2021
    • Corporate clients · 0 to 8
      Jun 29, 2020 to Mar 23, 2021
    • HNW clients · 166 to 193
      Jun 29, 2020 to Mar 23, 2021
    • Individual clients · 359 to 422
      Jun 29, 2020 to Mar 23, 2021
    • Pension plan clients · 1 to 5
      Jun 29, 2020 to Mar 23, 2021
    • Employees · 12 to 13
      Jun 29, 2020 to Mar 23, 2021
    • State-registered IARs · 6 to 11
      Jun 29, 2020 to Mar 23, 2021
    • Discretionary RAUM · $594M to $704M
      Jun 29, 2020 to Mar 23, 2021
    • HNW RAUM · $441M to $191M
      Jun 29, 2020 to Mar 23, 2021
    • Individual RAUM · $163M to $513M
      Jun 29, 2020 to Mar 23, 2021
    • Non-discretionary RAUM · $16.3M to $17.6M
      Jun 29, 2020 to Mar 23, 2021
    • Pension RAUM · $6.4M to $1.2M
      Jun 29, 2020 to Mar 23, 2021
    • RAUM · $610M to $721M
      Jun 29, 2020 to Mar 23, 2021
    • Accounts · 1,725 to 1,588
      Sep 3, 2019 to Mar 31, 2020
    • Advisory employees · 9 to 10
      Sep 3, 2019 to Mar 31, 2020
    • BD registered reps · 10 to 12
      Sep 3, 2019 to Mar 31, 2020
    • Charity clients · unset to 0.0
      Sep 3, 2019 to Mar 31, 2020
    • Corporate clients · unset to 0.0
      Sep 3, 2019 to Mar 31, 2020
    • HNW clients · 163 to 166
      Sep 3, 2019 to Mar 31, 2020
    • Individual clients · 273 to 359
      Sep 3, 2019 to Mar 31, 2020
    Signals
    12 dated events
    • J••• B•••• S•••••••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-06-22)
      Sep 26, 2022 · Advisor changed firm · fact
    • H•••• M•••• G••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-05-23)
      Sep 26, 2022 · Advisor changed firm · fact
    • E•••• J•••• W•••••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-06-15)
      Sep 26, 2022 · Advisor changed firm · fact
    • D••• W•••••• Y•••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-07-01)
      Sep 26, 2022 · Advisor changed firm · fact
    • M•••••• L•• S•••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-05-24)
      Sep 26, 2022 · Advisor changed firm · fact
    • N••••••• R• M••••••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-07-21)
      Sep 26, 2022 · Advisor changed firm · fact
    • K•• W••••••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-06-17)
      Sep 26, 2022 · Advisor changed firm · fact
    • H•• A•••••••• I••'s advisors moved to M••••• G••••• A••••••• I••• (Springfield, MO): 7 of 7 registered, on the same day
      Sep 26, 2022 · Firm absorbed (people side) · derived
    • J••• J•••••• B••••••• left H•• A•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-11-04)
      Jul 26, 2022 · Advisor changed firm · fact
    • J••• K••• D•••• left H•• A•••••••• I•• for F••••• M••••• W••••• A•••••••• L•• (registered 2022-04-13)
      Apr 14, 2022 · Advisor changed firm · fact
    • H•• A•••••••• I•• reported RAUM $917.0M, up 27% from $721.3M (2021-06-25 to 2022-03-17)
      Mar 17, 2022 · RAUM change · derived
    • H•• A•••••••• I•• reported RAUM $610.4M, up 26% from $482.6M (2019-09-03 to 2020-03-31)
      Mar 31, 2020 · RAUM 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