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Former SEC-registered adviser

I••••••••• I•••••••• A••••••• C••••••

Former SEC-registered adviserFenton, MissouriCRD 109655SEC 801-76836IAPD
Latest filing Jun 26, 2020
First filing on the tape Jun 15, 2012 · 15 filings
RAUM
$59.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$59.2M gross assets
History
15 filings and snapshots on the tape
RAUM$69.8M as of Mar 31, 2020
Apr 3, 2013$436M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2020
Apr 3, 20133 then
Employees (5.A)4 as of Mar 31, 2020
Apr 3, 20135 then
Private funds2 as of Mar 31, 2020
Mar 30, 20182 then
RAUM -39% over the last fiscal year-45% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
RAUM per advisor
$59.2MderivedRAUM 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
$29.6MderivedRAUM 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
-28%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 vehiclesreportedItem 5.G
Custody
$69.8M, 2 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$59.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$69.8M for 2 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••••• M••• S••••••Fenton, MoJul 8, 20207 y0
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    I•••••••• F•••• L••Other Private Fund$30.2M35Mar 30, 2018
    I••••••••• F•••• L••Other Private Fund$29.0M34Mar 30, 2018
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••• M•••••••• M••• · Chief Compliance Officercontrol
      since 06/2020 · owns less than 5%
    • Z••••••••• G••••••• W•••••• · Presidentcontrol
      since 11/2017 · owns less than 5%
    • Z••••••••• G••••••• W•••••• · T••••••control
      since 12/2004 · owns F of W•••••• L• Z••••••••• T••••••• U•• W•••••• L• Z•••••••• T••••• D•••• O••• 1•• 1•••
    • Z••••••••• B••••••• M•••• · T••••••
      since 12/2004 · owns F of W•••••• L• Z••••••••• T••••••• U•• W•••••• L• Z•••••••• T••••• D•••• O••• 1•• 1•••
    Entity owners
    • W•••••• L• Z••••••••• T••••••• U•• W•••••• L• Z•••••••• T••••• D•••• O••• 1•• 1••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Z•••••••• • A••••••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $69.8M to $59.2M
      Mar 31, 2020 to Jun 23, 2020
    • Pooled vehicle RAUM · $69.8M to $59.2M
      Mar 31, 2020 to Jun 23, 2020
    • RAUM · $69.8M to $59.2M
      Mar 31, 2020 to Jun 23, 2020
    • Assets in custody · $97.0M to $69.8M
      Mar 29, 2019 to Mar 31, 2020
    • Discretionary RAUM · $97.0M to $69.8M
      Mar 29, 2019 to Mar 31, 2020
    • Pooled vehicle RAUM · $97.0M to $69.8M
      Mar 29, 2019 to Mar 31, 2020
    • RAUM · $97.0M to $69.8M
      Mar 29, 2019 to Mar 31, 2020
    • Assets in custody · $207M to $97.0M
      Apr 20, 2018 to Mar 29, 2019
    • Employees · 5 to 4
      Apr 20, 2018 to Mar 29, 2019
    • HQ city · ST L•••• to FENTON
      Apr 20, 2018 to Mar 29, 2019
    • Discretionary RAUM · $207M to $97.0M
      Apr 20, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $207M to $97.0M
      Apr 20, 2018 to Mar 29, 2019
    • RAUM · $207M to $97.0M
      Apr 20, 2018 to Mar 29, 2019
    • Accounts · 1 to 2
      Oct 11, 2017 to Mar 30, 2018
    • Advisory employees · 3 to 1
      Oct 11, 2017 to Mar 30, 2018
    • Pooled vehicle clients · 1 to 2
      Oct 11, 2017 to Mar 30, 2018
    • Assets in custody · $306M to $207M
      Oct 11, 2017 to Mar 30, 2018
    • State-registered IARs · 3 to 1
      Oct 11, 2017 to Mar 30, 2018
    • Private funds · unset to 2
      Oct 11, 2017 to Mar 30, 2018
    • Discretionary RAUM · $306M to $207M
      Oct 11, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · $306M to $207M
      Oct 11, 2017 to Mar 30, 2018
    • RAUM · $306M to $207M
      Oct 11, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 1.0
      Mar 22, 2017 to Oct 11, 2017
    • Assets in custody · $350M to $306M
      Mar 22, 2017 to Oct 11, 2017
    • Other offices · unset to 0.0
      Mar 22, 2017 to Oct 11, 2017
    • Discretionary RAUM · $350M to $306M
      Mar 22, 2017 to Oct 11, 2017
    • Pooled vehicle RAUM · unset to 306000000.0
      Mar 22, 2017 to Oct 11, 2017
    • RAUM · $350M to $306M
      Mar 22, 2017 to Oct 11, 2017
    • Assets in custody · $370M to $350M
      Mar 28, 2016 to Mar 22, 2017
    • Discretionary RAUM · $370M to $350M
      Mar 28, 2016 to Mar 22, 2017
    • RAUM · $370M to $350M
      Mar 28, 2016 to Mar 22, 2017
    • Assets in custody · $383M to $370M
      Mar 30, 2015 to Mar 28, 2016
    • Discretionary RAUM · $383M to $370M
      Mar 30, 2015 to Mar 28, 2016
    • RAUM · $383M to $370M
      Mar 30, 2015 to Mar 28, 2016
    • Assets in custody · $396M to $383M
      Mar 28, 2014 to Mar 30, 2015
    • Discretionary RAUM · $396M to $383M
      Mar 28, 2014 to Mar 30, 2015
    • RAUM · $396M to $383M
      Mar 28, 2014 to Mar 30, 2015
    • Assets in custody · $436M to $396M
      Apr 3, 2013 to Mar 28, 2014
    • Financial planning clients · 0 to unset
      Apr 3, 2013 to Mar 28, 2014
    • Discretionary RAUM · $436M to $396M
      Apr 3, 2013 to Mar 28, 2014
    Signals
    3 dated events
    • M••• M••••••• S•••••• (Chief Compliance Officer) appeared on Schedule A of I••••••••• I•••••••• A••••••• C••••••
      Jun 26, 2020 · Control person joined · fact
    • I••••••••• I•••••••• A••••••• C•••••• reported RAUM $97.0M, down 53% from $207.0M (2018-04-20 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • I••••••••• I•••••••• A••••••• C•••••• filed its initial SEC registration (Form ADV)
      Jun 15, 2012 · 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.
    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
    $59.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026