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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••• I••••••••• A•••••••••
Latest filing Mar 5, 2026
First filing on the tape Mar 12, 2012 · 20 filings
SEC status approved since Feb 10, 2005
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$195M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$229M as of Mar 5, 2026
Mar 12, 2012$99.1M then
HNW client RAUM$133M as of Mar 5, 2026
Feb 23, 2018$63.5M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Jan 28, 20132 then
Employees (5.A)5 as of Mar 5, 2026
Jan 28, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $76.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $852,238derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$133M58%
- Individuals$62.1M27%
- Charitable organizations$34.0M15%
- Corporations and businesses$3300.0%
- Individual clients
- 215reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 269reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G••••• J••••Chartered Financial Consultant | Bolivar, Mo | Mar 20, 1996 | 38 y | 0 |
| T••• D••• B••••••• | Bolivar, Mo | Dec 12, 2019 | 26 y | 0 |
| T••• E•••••••• P••••• | Bolivar, Mo | Mar 13, 2023 | 11 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
- J••••• J••••• G••••• · Managing Membercontrolsince 01/1996 · owns 75% or more
- J••••• J•••• A••••• · Chief Compliance Officersince 10/2004 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bolivar, Mo · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 275 to 269Jan 31, 2025 to Mar 5, 2026
- Charity clients · 4 to 3Jan 31, 2025 to Mar 5, 2026
- HNW clients · 48 to 50Jan 31, 2025 to Mar 5, 2026
- Individual clients · 222 to 215Jan 31, 2025 to Mar 5, 2026
- Assets in custody · $68.9M to $88.9MJan 31, 2025 to Mar 5, 2026
- Discretionary RAUM · $192M to $229MJan 31, 2025 to Mar 5, 2026
- HNW RAUM · $106M to $133MJan 31, 2025 to Mar 5, 2026
- Individual RAUM · $57.6M to $62.1MJan 31, 2025 to Mar 5, 2026
- RAUM · $192M to $229MJan 31, 2025 to Mar 5, 2026
- Accounts · 272 to 275Dec 3, 2024 to Jan 31, 2025
- HNW clients · 46 to 48Dec 3, 2024 to Jan 31, 2025
- Individual clients · 221 to 222Dec 3, 2024 to Jan 31, 2025
- Assets in custody · $68.1M to $68.9MDec 3, 2024 to Jan 31, 2025
- Employees · 6 to 5Dec 3, 2024 to Jan 31, 2025
- Financial planning clients · 1-10 to 1-10Dec 3, 2024 to Jan 31, 2025
- Discretionary RAUM · $180M to $192MDec 3, 2024 to Jan 31, 2025
- HNW RAUM · $98.1M to $106MDec 3, 2024 to Jan 31, 2025
- Individual RAUM · $53.1M to $57.6MDec 3, 2024 to Jan 31, 2025
- RAUM · $180M to $192MDec 3, 2024 to Jan 31, 2025
- Accounts · 266 to 272Mar 22, 2023 to Mar 1, 2024
- HNW clients · 39 to 46Mar 22, 2023 to Mar 1, 2024
- Individual clients · 222 to 221Mar 22, 2023 to Mar 1, 2024
- Assets in custody · $56.4M to $68.1MMar 22, 2023 to Mar 1, 2024
- Discretionary RAUM · $160M to $180MMar 22, 2023 to Mar 1, 2024
- HNW RAUM · $77.2M to $98.1MMar 22, 2023 to Mar 1, 2024
- Individual RAUM · $49.4M to $53.1MMar 22, 2023 to Mar 1, 2024
- RAUM · $160M to $180MMar 22, 2023 to Mar 1, 2024
- Accounts · 261 to 266Apr 14, 2022 to Mar 22, 2023
- Advisory employees · 2 to 3Apr 14, 2022 to Mar 22, 2023
- HNW clients · 40 to 39Apr 14, 2022 to Mar 22, 2023
- Individual clients · 216 to 222Apr 14, 2022 to Mar 22, 2023
- Assets in custody · $63.1M to $56.4MApr 14, 2022 to Mar 22, 2023
- Employees · 4 to 6Apr 14, 2022 to Mar 22, 2023
- State-registered IARs · 2 to 3Apr 14, 2022 to Mar 22, 2023
- Discretionary RAUM · $196M to $160MApr 14, 2022 to Mar 22, 2023
- HNW RAUM · $96.9M to $77.2MApr 14, 2022 to Mar 22, 2023
- Individual RAUM · $58.2M to $49.4MApr 14, 2022 to Mar 22, 2023
- RAUM · $196M to $160MApr 14, 2022 to Mar 22, 2023
- Accounts · 263 to 261Jan 29, 2021 to Mar 10, 2022
- HNW clients · 35 to 40Jan 29, 2021 to Mar 10, 2022
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.
How to reach
public business contact points only, each with its source
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 417-777-7677reportedpublic record, Form ADV, Mar 5, 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
- $76.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026