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
D•••• S•••••• W••••• M•••••••••
Legal name D•••• S•••••• A•••••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since Jan 20, 1998
RAUM
$806M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$793M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$806M as of Mar 17, 2026
Mar 27, 2012$212M then
HNW client RAUM$723M as of Mar 17, 2026
Feb 23, 2018$396M then
State-registered IARs (5.B.3)5 as of Mar 17, 2026
Mar 25, 20130 then
Employees (5.A)8 as of Mar 17, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $639,914derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $38.2M, 47 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$723M90%
- Individuals$69.3M8.6%
- Charitable organizations$8.7M1.1%
- Pension and profit-sharing plans$4.9M0.6%
- Individual clients
- 220reported
- HNW clients
- 192reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 1,260reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.2M for 47 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• N••••• S••••••Personal Financial Specialist | Estero, Fl | Nov 19, 1999 | 31 y | 0 |
| A•••••• Z••• G•••••••Certified Financial Planner | St. Louis, Mo | Jul 8, 2014 | 22 y | 0 |
| M•••••• S•••• M••••• | St. Louis, Mo | Jul 16, 2015 | 30 y | 4 |
| J•••• S•••• N••••••Chartered Financial Analyst | St. Louis, Mo | Nov 25, 2019 | 22 y | 0 |
| R••••• J•••• H••••Certified Financial Planner | St. Louis, Mo | Aug 15, 2024 | 19 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 headcount1 left over 36 months
Left, latest
- C••••••••• P••••• T•••• to L••••• F•••••••• G••••• L••Aug 5, 2025 · RIA to affiliated broker-dealer or bank
- G•••••• J••••• G••••••••• to R••••••••• A••••••• L••Jan 5, 2018 · Other
Joined, latest
- C••••••••• P••••• T•••• from M••••• S••••••Jan 5, 2024 · Wirehouse to independent RIA
- G•••••• J••••• G••••••••• from G•• C••••••• L••Jan 4, 2017 · Other
- M•••••• S•••• M••••• from P•••••• C•••••• A••••••• I••Jul 16, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A••••••• Z••• · Vice Presidentcontrolsince 12/2016 · owns 25% to 50%
- R••••• R•••••• S•••••• · Secretary & Treasurercontrolsince 01/2018 · owns 10% to 25%
- S••••••• S•••••• N••••• · Chairman, President & Chief Compliance Officercontrolsince 07/1995 · owns 25% to 50%
- N••••••• J••••• S•••• · Wealth Advisorsince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••• N• S••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,402 to 1,260Mar 26, 2025 to Mar 17, 2026
- Advisory employees · 6 to 5Mar 26, 2025 to Mar 17, 2026
- Charity clients · 16 to 3Mar 26, 2025 to Mar 17, 2026
- HNW clients · 158 to 192Mar 26, 2025 to Mar 17, 2026
- Individual clients · 221 to 220Mar 26, 2025 to Mar 17, 2026
- Pension plan clients · 14 to 5Mar 26, 2025 to Mar 17, 2026
- Assets in custody · $32.7M to $38.2MMar 26, 2025 to Mar 17, 2026
- Employees · 9 to 8Mar 26, 2025 to Mar 17, 2026
- State-registered IARs · 6 to 5Mar 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $722M to $789MMar 26, 2025 to Mar 17, 2026
- HNW RAUM · $610M to $723MMar 26, 2025 to Mar 17, 2026
- Individual RAUM · $91.3M to $69.3MMar 26, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $8.8M to $16.9MMar 26, 2025 to Mar 17, 2026
- Pension RAUM · $21.2M to $4.9MMar 26, 2025 to Mar 17, 2026
- RAUM · $730M to $806MMar 26, 2025 to Mar 17, 2026
- Accounts · 1,242 to 1,402Sep 19, 2024 to Mar 26, 2025
- Charity clients · 18 to 16Sep 19, 2024 to Mar 26, 2025
- HNW clients · 145 to 158Sep 19, 2024 to Mar 26, 2025
- Individual clients · 174 to 221Sep 19, 2024 to Mar 26, 2025
- Pension plan clients · 8 to 14Sep 19, 2024 to Mar 26, 2025
- Assets in custody · $38.3M to $32.7MSep 19, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Sep 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $672M to $722MSep 19, 2024 to Mar 26, 2025
- HNW RAUM · $573M to $610MSep 19, 2024 to Mar 26, 2025
- Individual RAUM · $75.5M to $91.3MSep 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $3.8M to $8.8MSep 19, 2024 to Mar 26, 2025
- Pension RAUM · $13.6M to $21.2MSep 19, 2024 to Mar 26, 2025
- RAUM · $676M to $730MSep 19, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6Feb 27, 2024 to Sep 19, 2024
- Custody of client assets · false to trueFeb 27, 2024 to Sep 19, 2024
- State-registered IARs · 5 to 6Feb 27, 2024 to Sep 19, 2024
- Accounts · 1,230 to 1,242Mar 16, 2023 to Feb 27, 2024
- Advisory employees · 4 to 5Mar 16, 2023 to Feb 27, 2024
- Charity clients · 15 to 18Mar 16, 2023 to Feb 27, 2024
- HNW clients · 199 to 145Mar 16, 2023 to Feb 27, 2024
- Individual clients · 172 to 174Mar 16, 2023 to Feb 27, 2024
- Assets in custody · $17.6M to $38.3MMar 16, 2023 to Feb 27, 2024
- Custody of client assets · true to falseMar 16, 2023 to Feb 27, 2024
- Employees · 8 to 9Mar 16, 2023 to Feb 27, 2024
- State-registered IARs · 4 to 5Mar 16, 2023 to Feb 27, 2024
Signals
2 dated events
- C••••••••• P••••• T•••• left D•••• S•••••• W••••• M••••••••• for L••••• F•••••••• G••••• L•• (registered 2026-05-15)Aug 5, 2025 · Advisor changed firm · fact
- George William Droms (Shareholder) no longer on Schedule A of D•••• S•••••• W••••• M••••••••• (listed 2020-11-06, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
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
- Firm profile
- linkedin.com/company/droms-strauss-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-862-9100reportedpublic record, Form ADV, Mar 17, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026