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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Former SEC-registered adviser

M••• O••••••• L••

Former SEC-registered adviserChesterfield, MissouriCRD 127558SEC 801-67662IAPD
Latest filing Sep 27, 2013
First filing on the tape Mar 8, 2012 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$144M as of Feb 20, 2013
Mar 8, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 20, 2013
Mar 8, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Sep 27, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O••••••• M••••••• E••••• · President/Managing Member/Chief Compliance Officercontrol
    since 06/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 3 to 2
    Aug 13, 2013 to Sep 27, 2013
  • BD registered reps · 1 to 2
    Aug 13, 2013 to Sep 27, 2013
  • Accounts · 222.0 to unset
    Feb 20, 2013 to Aug 13, 2013
  • Advisory activities · 4 to 3
    Feb 20, 2013 to Aug 13, 2013
  • State-registered IARs · 1 to 2
    Feb 20, 2013 to Aug 13, 2013
  • Discretionary RAUM · 0.0 to unset
    Feb 20, 2013 to Aug 13, 2013
  • Non-discretionary RAUM · 144000000.0 to unset
    Feb 20, 2013 to Aug 13, 2013
  • RAUM · 144000000.0 to unset
    Feb 20, 2013 to Aug 13, 2013
  • Accounts · 229 to 222
    Mar 8, 2012 to Feb 20, 2013
  • Advisory employees · unset to 2.0
    Mar 8, 2012 to Feb 20, 2013
  • BD registered reps · unset to 1.0
    Mar 8, 2012 to Feb 20, 2013
  • Employees · unset to 4.0
    Mar 8, 2012 to Feb 20, 2013
  • State-registered IARs · 0 to 1
    Mar 8, 2012 to Feb 20, 2013
  • Non-discretionary RAUM · $112M to $144M
    Mar 8, 2012 to Feb 20, 2013
  • RAUM · $112M to $144M
    Mar 8, 2012 to Feb 20, 2013
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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026