DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• F•••••••• G••••• L••
Latest filing Jan 30, 2026
First filing on the tape May 16, 2024 · 4 filings
SEC status approved since Jun 17, 2024
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$178M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$178M as of Jan 30, 2026
Apr 14, 2025$138M then
HNW client RAUM$171M as of Jan 30, 2026
Apr 14, 2025$133M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Apr 14, 20252 then
Employees (5.A)3 as of Jan 30, 2026
Apr 14, 20254 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $88.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $686,184derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $125M, 63 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M96%
- Individuals$6.9M3.9%
- Individual clients
- 32reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 259reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 63 clientsreported
- Compensation
- fixedreported
- 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 |
|---|---|---|---|---|
| P••••••• M•••••• C•••••Certified Financial Planner | Chesterfield, Mo | Nov 30, 2005 | 25 y | 0 |
| D•••• J•••• C•••Certified Financial Planner | Chesterfield, Mo | Apr 7, 2020 | 10 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
- C•••• D••••• J•••• · Membercontrolsince 01/2023 · owns 25% to 50%
- C•••••• P•••••••• M•••••• · Managing Memeber, Ccocontrolsince 08/2001 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Chesterfield, Mo · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 253 to 259Oct 21, 2025 to Jan 30, 2026
- HNW clients · 47 to 52Oct 21, 2025 to Jan 30, 2026
- Individual clients · 28 to 32Oct 21, 2025 to Jan 30, 2026
- Assets in custody · $102M to $125MOct 21, 2025 to Jan 30, 2026
- Employees · 4 to 3Oct 21, 2025 to Jan 30, 2026
- Discretionary RAUM · $138M to $178MOct 21, 2025 to Jan 30, 2026
- HNW RAUM · $133M to $171MOct 21, 2025 to Jan 30, 2026
- Individual RAUM · $5.7M to $6.9MOct 21, 2025 to Jan 30, 2026
- RAUM · $138M to $178MOct 21, 2025 to Jan 30, 2026
- Accounts · 165 to 253May 16, 2024 to Apr 14, 2025
- HNW clients · 50 to 47May 16, 2024 to Apr 14, 2025
- Individual clients · 19 to 28May 16, 2024 to Apr 14, 2025
- Assets in custody · unset to 101513445.0May 16, 2024 to Apr 14, 2025
- Custody of client assets · false to trueMay 16, 2024 to Apr 14, 2025
- Employees · 3 to 4May 16, 2024 to Apr 14, 2025
- Financial planning clients · 51-100 to 51-100May 16, 2024 to Apr 14, 2025
- Discretionary RAUM · $105M to $138MMay 16, 2024 to Apr 14, 2025
- HNW RAUM · $101M to $133MMay 16, 2024 to Apr 14, 2025
- Individual RAUM · $3.9M to $5.7MMay 16, 2024 to Apr 14, 2025
- RAUM · $105M to $138MMay 16, 2024 to Apr 14, 2025
Signals
1 dated events
- C••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 16, 2024 · 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 email
- d••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 314-579-9157reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 314-579-9186reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (314) 579-9157reportedpublic record, Form ADV, Jan 30, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $88.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026