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••••••• A•••• M••••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Feb 16, 2012 · 21 filings
SEC status approved since Apr 20, 2018
RAUM
$234M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$234M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$78.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$234M as of Jan 29, 2026
Feb 16, 2012$8.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 29, 2026
Jan 28, 20193 then
Employees (5.A)2 as of Jan 29, 2026
Jan 28, 20193 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.0MderivedRAUM 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
- $204,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$234M100%
- Individual clients
- 446reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,145reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- H•••• C••••• D••••• · Vice-President/Chief Compliance Officercontrolsince 08/2000 · owns 25% to 50%
- H•••• T••••••• D•••• · Presidentcontrolsince 03/1996 · owns 25% to 50%
Related persons
Schedule D 7.A
- S•• L•••• F•••••••• P••••••• I•••investment advisery
Advisers that list S•• L•••• F•••••••• P••••••• A•••• M••••••••• L•• as a related person
- 105511 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.
What changed
consecutive filings, newest first
- Accounts · 1,059 to 1,145Jan 16, 2025 to Jan 29, 2026
- Advisory employees · 3 to 2Jan 16, 2025 to Jan 29, 2026
- Individual clients · 427 to 446Jan 16, 2025 to Jan 29, 2026
- Employees · 3 to 2Jan 16, 2025 to Jan 29, 2026
- Insurance-licensed employees · 3 to 0Jan 16, 2025 to Jan 29, 2026
- State-registered IARs · 3 to 2Jan 16, 2025 to Jan 29, 2026
- Discretionary RAUM · $188M to $234MJan 16, 2025 to Jan 29, 2026
- Individual RAUM · $188M to $234MJan 16, 2025 to Jan 29, 2026
- RAUM · $188M to $234MJan 16, 2025 to Jan 29, 2026
- Accounts · 1,011 to 1,059Apr 29, 2024 to Jan 16, 2025
- Advisory activities · 2 to 1Apr 29, 2024 to Jan 16, 2025
- Individual clients · 412 to 427Apr 29, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 0Apr 29, 2024 to Jan 16, 2025
- Discretionary RAUM · $155M to $188MApr 29, 2024 to Jan 16, 2025
- Individual RAUM · $155M to $188MApr 29, 2024 to Jan 16, 2025
- RAUM · $155M to $188MApr 29, 2024 to Jan 16, 2025
- Accounts · 1,098 to 1,011Jan 26, 2023 to Jan 9, 2024
- Individual clients · 430 to 412Jan 26, 2023 to Jan 9, 2024
- Discretionary RAUM · $130M to $155MJan 26, 2023 to Jan 9, 2024
- Individual RAUM · $130M to $155MJan 26, 2023 to Jan 9, 2024
- RAUM · $130M to $155MJan 26, 2023 to Jan 9, 2024
- Accounts · 1,067 to 1,098Jan 26, 2022 to Jan 26, 2023
- Individual clients · 431 to 430Jan 26, 2022 to Jan 26, 2023
- Discretionary RAUM · $138M to $130MJan 26, 2022 to Jan 26, 2023
- Individual RAUM · $138M to $130MJan 26, 2022 to Jan 26, 2023
- RAUM · $138M to $130MJan 26, 2022 to Jan 26, 2023
- Accounts · 980 to 1,067Jan 27, 2021 to Jan 26, 2022
- Individual clients · 407 to 431Jan 27, 2021 to Jan 26, 2022
- Discretionary RAUM · $130M to $138MJan 27, 2021 to Jan 26, 2022
- Individual RAUM · $130M to $138MJan 27, 2021 to Jan 26, 2022
- RAUM · $130M to $138MJan 27, 2021 to Jan 26, 2022
- Accounts · 965 to 980Jun 18, 2020 to Jan 27, 2021
- Individual clients · 419 to 407Jun 18, 2020 to Jan 27, 2021
- Discretionary RAUM · $124M to $130MJun 18, 2020 to Jan 27, 2021
- Individual RAUM · $124M to $130MJun 18, 2020 to Jan 27, 2021
- RAUM · $124M to $130MJun 18, 2020 to Jan 27, 2021
- Accounts · 1,022 to 965Oct 23, 2019 to Jan 16, 2020
- Individual clients · 429 to 419Oct 23, 2019 to Jan 16, 2020
- Discretionary RAUM · $114M to $124MOct 23, 2019 to Jan 16, 2020
- Individual RAUM · $114M to $124MOct 23, 2019 to Jan 16, 2020
Signals
1 dated events
- S•• L•••• F•••••••• P••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 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
- Principal office phone
- 636-532-3900reportedpublic record, Form ADV, Jan 29, 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
- $78.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026