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.

SEC-registered adviser

Financial & Tax Architects, LLC

Independent wealth managerSt. Louis, MissouriCRD 119169SEC 801-114688websiteIAPD
Latest filing Jun 18, 2026
First filing on the tape Jan 9, 2019 · 56 filings
SEC status approved since Feb 12, 2019
RAUM
$506M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$375M individuals and HNW
Advisors
37
registered through the firm on IAPD
RAUM per advisor
$13.7M
derived; firm RAUM over IAPD count
Employees
71
40 advisory (5.B.1)
Offices
21
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$506M as of Jun 18, 2026
Mar 19, 2020$151M then
HNW client RAUM$162M as of Jun 18, 2026
Mar 19, 2020$28.5M then
State-registered IARs (5.B.3)40 as of Jun 18, 2026
Mar 19, 202013 then
Employees (5.A)71 as of Jun 18, 2026
Mar 19, 202022 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 25 to 40offices 20 to 21
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
RAUM per advisor
$13.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$135,505derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
1.7derived22 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+60%derivedItem 5.B.3 between annual amendments
Client growth, one year
+49%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$213M42%
  • High-net-worth individuals$162M32%
  • Other investment advisers$131M26%
Individual clients
1,416reported
HNW clients
149reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3,736reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.74 fund_share=0.26 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
37 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
David Scott BrooksSt. Louis, MoJul 9, 199937 y0
Gordon Christopher HaaveChartered Financial AnalystSt. Louis, MoNov 1, 201621 y3
Mark Robin KukielskiSt. Louis, MoNov 7, 201716 y0
Jason Todd HillLuther, OkAug 14, 201827 y4
Scott M PetersonSt. Louis, MoJun 5, 201914 y1
Ronald MendozaValencia, CaJun 18, 201924 y2
Alan Bradley SchmidtEdina, MnApr 21, 202020 y1
Michael Brian WofseySt. Louis, Mo Sep 14, 202024 y1
Alan Dwayne JohnsonLargo, MdJun 16, 202129 y1
Paul Albert StoutKnoxville, TnAug 18, 202128 y1
Jason James SmitkaOverland Park, KsFeb 14, 202215 y3
Erion KafaziSt. Louis, MoJan 17, 202313 y0
Anthony Christopher GitchoSt. Louis, MoJul 6, 202318 y1
Sean Timothy KenneySt. Louis, MoNov 16, 202313 y0
Catherine Soo LoquetSt. Louis, Mo Jan 9, 202428 y3
Mia Kristina SulakSt. Louis, Mo Jan 30, 202412 y0
Gary R DavisCertified Financial Planner, Chartered Financial ConsultantLas Vegas, Nv Feb 27, 202429 y1
Roy Davidson JonesFlorence, Sc Sep 12, 202425 y2
Ryan Leigh HillEdmond, Ok Feb 3, 202512 y0
Justin YooSt. Louis, Mo Apr 29, 202514 y0
Robert Cain AtkinsonMurfreesboro, Tn Jun 6, 202511 y0
David Terrance AndersonChicago, IlJul 4, 202510 y0
Brett J HenissOak Brook, IlJul 26, 202513 y0
Donald GastonSt. Louis, MoAug 14, 202512 y1
James M FoxSt. Louis, Mo Aug 14, 202516 y9
Cody Lee BrownSt. Louis, MoAug 26, 202518 y0
Andrew Vincent ClausSt. Louis, MoSep 27, 202512 y0
Randall Albert KnappTen Mile, Tn Oct 10, 202513 y3
Jordan Daniel BlantonSt. Louis, MoOct 17, 202511 y0
Brayden Brian AdamsColumbia, Sc Nov 17, 202511 y0
Joseph GohChartered Financial ConsultantSt. Louis, Mo Dec 18, 202512 y2
Cassandra Michelle SanchezSt. Louis, Mo Dec 18, 202513 y1
Anthony Lee BrownSt. Louis, Mo Dec 19, 202512 y1
Michael Henrik KurthPersonal Financial SpecialistSt. Louis, Mo Apr 24, 20269 y0
Brian Patrick HoodjerSt. Louis, Mo May 4, 202621 y1
Gregory Scott CreelFranklin, Tn Aug 18, 202611 y2
Brian WhiteSt. Louis, Mo Sep 3, 202612 y4
Advisor movement
4 left, 8 joined in 12 months
net +4 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 11% of current headcount13 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Scott David Brooks · Chief Executive Officercontrol
    since 07/1999 · owns less than 5%
  • Christopher Gordon Haave · President And Chief Investment Officercontrol
    since 11/2016 · owns less than 5%
  • Scott David Brooks · Shareholdercontrol
    since 05/2022 · owns 75% or more of Victoriae, Inc.
Entity owners
  • Fta Holdings Group, LLC · Member
    direct · owns 75% or more
  • Victoriae, Inc. · Member
    indirect · owns 75% or more of Fta Holdings Group, LLC
Related persons
Schedule D 7.A
  • Advisormax, LLC
    real estaten
  • Fta Insurance Services, LLC
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
St Louis, Mo29111
Plano, Tx331
Chicago, Il200
Edmond, Ok210
Franklin, Tn110
Murfreesboro, Tn100
Newport, Ri001
Nashville, Tn001
Santa Clarita, Ca000
Snellville, Ga000
Offices
Schedule D 1.F, the 25 largest
  • Largo, MD2 employees
  • Costa Mesa, CA1 employees
  • Eden Prairie, MN1 employees
  • Edmond, OK1 employees
  • Edmond, OK1 employees
  • Edwardsville, IL1 employees
  • Franklin, TN1 employees
  • Knoxville, TN1 employees
  • Lancaster, CA1 employees
  • Las Vegas, NV1 employees
  • Lebanon, TN1 employees
  • Murfreesboro, TN1 employees
  • Overland Park, KS1 employees
  • Ponderay, ID1 employees
  • Springfield, MO1 employees
  • Tulsa, OK1 employees
  • Agoura Hills, CA1 employees
  • Valencia, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • advisor count surgeChange between filings · filing Jan 30, 2026
    advisory representatives (Item 5.B.3) moved from 25.0 to 40.0 (+60.0%) between the annual amendments of 2025-03-20 and 2026-01-30; the peer median change was 0.0% (795 comparable advisers, 98.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (795) · 98% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Other offices · 20 to 21
    Jan 30, 2026 to May 7, 2026
  • Accounts · 3,347 to 3,736
    Dec 5, 2025 to Jan 30, 2026
  • Advisory employees · 24 to 40
    Dec 5, 2025 to Jan 30, 2026
  • HNW clients · 134 to 149
    Dec 5, 2025 to Jan 30, 2026
  • Individual clients · 917 to 1,416
    Dec 5, 2025 to Jan 30, 2026
  • Employees · 53 to 71
    Dec 5, 2025 to Jan 30, 2026
  • State-registered IARs · 25 to 40
    Dec 5, 2025 to Jan 30, 2026
  • Discretionary RAUM · $443M to $506M
    Dec 5, 2025 to Jan 30, 2026
  • HNW RAUM · $117M to $162M
    Dec 5, 2025 to Jan 30, 2026
  • Individual RAUM · $165M to $213M
    Dec 5, 2025 to Jan 30, 2026
  • RAUM · $443M to $506M
    Dec 5, 2025 to Jan 30, 2026
  • Financial planning clients · 101-250 to 101-250
    Mar 20, 2025 to Jun 26, 2025
  • Accounts · 4,186 to 3,347
    Jan 13, 2025 to Mar 20, 2025
  • Advisory employees · 23 to 24
    Jan 13, 2025 to Mar 20, 2025
  • Charity clients · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • Corporate clients · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • HNW clients · 171 to 134
    Jan 13, 2025 to Mar 20, 2025
  • Individual clients · 694 to 917
    Jan 13, 2025 to Mar 20, 2025
  • Pension plan clients · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • Pooled vehicle clients · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • Employees · 38 to 53
    Jan 13, 2025 to Mar 20, 2025
  • State-registered IARs · 21 to 25
    Jan 13, 2025 to Mar 20, 2025
  • Other offices · 18 to 20
    Jan 13, 2025 to Mar 20, 2025
  • Discretionary RAUM · $354M to $443M
    Jan 13, 2025 to Mar 20, 2025
  • HNW RAUM · $91.5M to $117M
    Jan 13, 2025 to Mar 20, 2025
  • Individual RAUM · $156M to $165M
    Jan 13, 2025 to Mar 20, 2025
  • Non-discretionary RAUM · $55.8M to $0
    Jan 13, 2025 to Mar 20, 2025
  • Pension RAUM · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • Pooled vehicle RAUM · unset to 0.0
    Jan 13, 2025 to Mar 20, 2025
  • RAUM · $410M to $443M
    Jan 13, 2025 to Mar 20, 2025
  • Other offices · 17 to 18
    Jul 31, 2024 to Aug 9, 2024
  • Accounts · 3,775 to 4,186
    May 23, 2024 to Jul 30, 2024
  • HNW clients · 162 to 171
    May 23, 2024 to Jul 30, 2024
  • Individual clients · 649 to 694
    May 23, 2024 to Jul 30, 2024
  • Discretionary RAUM · $346M to $354M
    May 23, 2024 to Jul 30, 2024
  • HNW RAUM · $82.9M to $91.5M
    May 23, 2024 to Jul 30, 2024
  • Individual RAUM · $139M to $156M
    May 23, 2024 to Jul 30, 2024
  • Non-discretionary RAUM · $33.1M to $55.8M
    May 23, 2024 to Jul 30, 2024
  • RAUM · $379M to $410M
    May 23, 2024 to Jul 30, 2024
  • Other offices · 16 to 17
    Apr 11, 2024 to May 23, 2024
Signals
23 dated events
  • Michael Fuscardo left Financial & Tax Architects, Llc for Pnc Wealth Management (registered 2026-04-02)
    Mar 18, 2026 · Advisor changed firm · fact
  • John Bradley Fair left Financial & Tax Architects, Llc for Lpl Enterprise, Llc (registered 2026-05-15)
    Feb 17, 2026 · Advisor changed firm · fact
  • Jonathan A Nickel left Financial & Tax Architects, Llc for Cetera Investment Advisers Llc (registered 2026-03-31)
    Feb 17, 2026 · Advisor changed firm · fact
  • Financial & Tax Architects, Llc reported 40 state-registered advisory representatives, up from 25 (2025-12-05 to 2026-01-30)
    Jan 30, 2026 · Advisor headcount change · derived
  • Elizabeth Ann Reilly left Financial & Tax Architects, Llc for Tlg Advisors, Inc. (registered 2026-09-02)
    Jan 23, 2026 · Advisor changed firm · fact
  • Daniel Ray Knelson left Financial & Tax Architects, Llc for Coppell Advisory Solutions Llc (registered 2025-06-06)
    Jun 10, 2025 · Advisor changed firm · fact
  • Justin Wilke left Financial & Tax Architects, Llc for Q3 Advisors, Llc (registered 2026-08-24)
    May 9, 2025 · Advisor changed firm · fact
  • Shawn Michael Maloney left Financial & Tax Architects, Llc for Ae Wealth Management, Llc (registered 2025-02-14)
    Feb 11, 2025 · Advisor changed firm · fact
  • William Clark Smith left Financial & Tax Architects, Llc for Ae Wealth Management, Llc (registered 2025-02-19)
    Nov 8, 2024 · Advisor changed firm · fact
  • Anne Cathleen Wrisberg (Chief Compliance Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2024-08-26, absent 2024-10-24)
    Oct 24, 2024 · Control person left · inference
  • Anne Cathleen Wrisberg (Chief Compliance Officer) appeared on Schedule A of Financial & Tax Architects, Llc
    Jul 30, 2024 · Control person joined · fact
  • Nicholas Berendt Rothrock left Financial & Tax Architects, Llc for Foundations Investment Advisors Llc (registered 2025-10-30)
    Jul 15, 2024 · Advisor changed firm · fact
  • David Allen Emring left Financial & Tax Architects, Llc for Pruco Securities, Llc (registered 2024-09-16)
    Jun 6, 2024 · Advisor changed firm · fact
  • Daniel Upchurch left Financial & Tax Architects, Llc for Van Clemens Wealth Management, Llc (registered 2026-05-06)
    May 20, 2024 · Advisor changed firm · fact
  • Spencer Schreiber Miller left Financial & Tax Architects, Llc for Avinci Wealth Management, Inc. (registered 2024-01-03)
    Apr 10, 2024 · Advisor changed firm · fact
  • Lindahl Larry Lucas left Financial & Tax Architects, Llc for Avinci Wealth Management, Inc. (registered 2025-01-30)
    Apr 10, 2024 · Advisor changed firm · fact
  • Financial & Tax Architects, Llc reported 16 offices beyond its principal office, up from 7 (2023-11-29 to 2024-03-08)
    Mar 8, 2024 · Office count change · derived
  • Michael Ybarra Rojas left Financial & Tax Architects, Llc for Brookstone Wealth Advisors, Llc (registered 2023-10-16)
    Jul 14, 2023 · Advisor changed firm · fact
  • Wendy J Pyne left Financial & Tax Architects, Llc for Protegro, Inc. (registered 2024-02-27)
    Mar 31, 2023 · Advisor changed firm · fact
  • Ray James Rogers (Chief Operating Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2023-01-10, absent 2023-03-20)
    Mar 20, 2023 · Control person left · inference
  • Vincent Andrew Claus (Chief Operating Officer) no longer on Schedule A of Financial & Tax Architects, Llc (listed 2022-08-10, absent 2022-11-17)
    Nov 17, 2022 · Control person left · inference
  • Ray James Rogers (Chief Operating Officer) appeared on Schedule A of Financial & Tax Architects, Llc
    Nov 17, 2022 · Control person joined · fact
  • Financial & Tax Architects, Inc. filed its initial SEC registration (Form ADV)
    Jan 9, 2019 · 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
702-323-6200reportedpublished by the firm, firm site, Sep 17, 2026
Website
srslv.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
314-858-1122reportedpublic record, Form ADV, Jun 18, 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
$13.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026