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
R••••• • C••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Nov 29, 2021 · 10 filings
SEC status approved since Jan 3, 2022
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$211M as of Jul 20, 2026
Apr 6, 2022$102M then
HNW client RAUM$43.1M as of Jul 20, 2026
Apr 6, 2022$20.8M then
State-registered IARs (5.B.3)2 as of Jul 20, 2026
Apr 6, 20221 then
Employees (5.A)5 as of Jul 20, 2026
Apr 6, 20225 then
Private funds: no history
RAUM +21% over the last fiscal year+32% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 477derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $109,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $73.4M, 635 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$168M80%
- High-net-worth individuals$43.1M20%
- Individual clients
- 917reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,916reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.4M for 635 clientsreported
- Compensation
- % of AUM, hourly, commissionsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• R••••• | O'Fallon, Mo | Aug 8, 2012 | 33 y | 0 |
| M•••••• J••••• R••••• | O'Fallon, Mo | Aug 26, 2024 | 18 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 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
- R•••••• M••••••• J••••• · President/Ccocontrolsince 11/1998 · owns 75% or more
Related persons
Schedule D 7.A
- D•••• R•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ofallon, Mo | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · OFALLON to O'FALLONApr 1, 2026 to Jul 20, 2026
- Assets in custody · $211M to $73.4MMar 31, 2026 to Apr 1, 2026
- Accounts · 1,839 to 1,916Mar 31, 2025 to Mar 31, 2026
- HNW clients · 31 to 36Mar 31, 2025 to Mar 31, 2026
- Individual clients · 841 to 917Mar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 210711241.0Mar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $174M to $211MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $32.8M to $43.1MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $141M to $168MMar 31, 2025 to Mar 31, 2026
- RAUM · $174M to $211MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,657 to 1,839Mar 25, 2024 to Mar 31, 2025
- Advisory employees · 1 to 2Mar 25, 2024 to Mar 31, 2025
- HNW clients · 25 to 31Mar 25, 2024 to Mar 31, 2025
- Individual clients · 762 to 841Mar 25, 2024 to Mar 31, 2025
- Assets in custody · 2615259.0 to unsetMar 25, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 25, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to More than 500Mar 25, 2024 to Mar 31, 2025
- State-registered IARs · 1 to 2Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $143M to $174MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $24.7M to $32.8MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $118M to $141MMar 25, 2024 to Mar 31, 2025
- RAUM · $143M to $174MMar 25, 2024 to Mar 31, 2025
- Accounts · 1,468 to 1,657Apr 25, 2023 to Mar 25, 2024
- HNW clients · 22 to 25Apr 25, 2023 to Mar 25, 2024
- Individual clients · 703 to 762Apr 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $91.5M to $143MApr 25, 2023 to Mar 25, 2024
- HNW RAUM · $18.3M to $24.7MApr 25, 2023 to Mar 25, 2024
- Individual RAUM · $73.2M to $118MApr 25, 2023 to Mar 25, 2024
- RAUM · $91.5M to $143MApr 25, 2023 to Mar 25, 2024
- Assets in custody · unset to 2615259.0Mar 30, 2023 to Apr 25, 2023
- Custody of client assets · false to trueMar 30, 2023 to Apr 25, 2023
- Accounts · 500 to 1,468Apr 6, 2022 to Mar 30, 2023
- HNW clients · 14 to 22Apr 6, 2022 to Mar 30, 2023
- Individual clients · 481 to 703Apr 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $102M to $91.5MApr 6, 2022 to Mar 30, 2023
- HNW RAUM · $20.8M to $18.3MApr 6, 2022 to Mar 30, 2023
- Individual RAUM · $81.1M to $73.2MApr 6, 2022 to Mar 30, 2023
- RAUM · $102M to $91.5MApr 6, 2022 to Mar 30, 2023
- Accounts · 1,315 to 500Jan 20, 2022 to Apr 6, 2022
Signals
1 dated events
- R••••• • C••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 2021 · 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
- Business phone
- 636-240-5055reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- R•••••ANDCOMPANY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 636-240-5055reportedpublic record, Form ADV, Jul 20, 2026
- Contact form
- renaudandcompany.com/contactreportedpublished by the firm, firm site, Sep 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026