DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• M••••••• M••••••••• I••

Former SEC-registered adviserManchester, MissouriCRD 109440SEC 801-54791IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$541M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$434M gross assets
History
12 filings and snapshots on the tape
RAUM$541M as of Mar 30, 2021
Mar 28, 2012$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2021
Mar 25, 20131 then
Employees (5.A)4 as of Mar 30, 2021
Mar 25, 20133 then
Private funds1 as of Mar 30, 2021
Mar 28, 20121 then
RAUM +9.4% over the last fiscal year+9.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$541MderivedRAUM 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
$541MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.4%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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$541M, 1 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
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$541M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$541M for 1 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• J•••• W•••••• · Presidentcontrol
        since 11/1997 · owns 75% or more
      • S••••••• M••••••• P•••••• · Chief Compliance Officer
        since 09/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $494M to $541M
        Mar 25, 2020 to Mar 30, 2021
      • Employees · 3 to 4
        Mar 25, 2020 to Mar 30, 2021
      • Discretionary RAUM · $494M to $541M
        Mar 25, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $494M to $541M
        Mar 25, 2020 to Mar 30, 2021
      • RAUM · $494M to $541M
        Mar 25, 2020 to Mar 30, 2021
      • Assets in custody · $434M to $494M
        Mar 25, 2019 to Mar 25, 2020
      • Other offices · 1 to 0
        Mar 25, 2019 to Mar 25, 2020
      • Discretionary RAUM · $434M to $494M
        Mar 25, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $434M to $494M
        Mar 25, 2019 to Mar 25, 2020
      • RAUM · $434M to $494M
        Mar 25, 2019 to Mar 25, 2020
      • Assets in custody · $416M to $434M
        Mar 27, 2018 to Mar 25, 2019
      • Discretionary RAUM · $416M to $434M
        Mar 27, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $416M to $434M
        Mar 27, 2018 to Mar 25, 2019
      • RAUM · $416M to $434M
        Mar 27, 2018 to Mar 25, 2019
      • Advisory activities · 1 to 2
        Mar 29, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 29, 2017 to Mar 27, 2018
      • Assets in custody · $367M to $416M
        Mar 29, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 27, 2018
      • Discretionary RAUM · $367M to $416M
        Mar 29, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 416401418.0
        Mar 29, 2017 to Mar 27, 2018
      • RAUM · $367M to $416M
        Mar 29, 2017 to Mar 27, 2018
      • Assets in custody · $363M to $367M
        Sep 9, 2016 to Mar 29, 2017
      • Discretionary RAUM · $363M to $367M
        Sep 9, 2016 to Mar 29, 2017
      • RAUM · $363M to $367M
        Sep 9, 2016 to Mar 29, 2017
      • Assets in custody · unset to 362907466.0
        Mar 23, 2015 to Mar 22, 2016
      • Custody of client assets · false to true
        Mar 23, 2015 to Mar 22, 2016
      • Discretionary RAUM · $318M to $363M
        Mar 23, 2015 to Mar 22, 2016
      • RAUM · $318M to $363M
        Mar 23, 2015 to Mar 22, 2016
      • Discretionary RAUM · $270M to $318M
        Mar 28, 2014 to Mar 23, 2015
      • RAUM · $270M to $318M
        Mar 28, 2014 to Mar 23, 2015
      • Discretionary RAUM · $224M to $270M
        Jun 25, 2013 to Mar 28, 2014
      • RAUM · $224M to $270M
        Jun 25, 2013 to Mar 28, 2014
      • BD registered reps · 1 to 0
        Mar 25, 2013 to Jun 25, 2013
      • Insurance-licensed employees · 1 to 0
        Mar 25, 2013 to Jun 25, 2013
      • Related broker-dealer · true to false
        Mar 25, 2013 to Jun 25, 2013
      • Advisory employees · unset to 1.0
        Mar 28, 2012 to Mar 25, 2013
      • BD registered reps · unset to 1.0
        Mar 28, 2012 to Mar 25, 2013
      • Employees · unset to 3.0
        Mar 28, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 1.0
        Mar 28, 2012 to Mar 25, 2013
      • Discretionary RAUM · $197M to $224M
        Mar 28, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      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