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•••• R••• W••••• A•••••••• L•••••

Former SEC-registered adviserChesterfield, MissouriCRD 134109SEC 801-113414IAPD
Latest filing Mar 31, 2022
First filing on the tape Nov 16, 2011 · 23 filings
RAUM
$116M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
64%
$73.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$116M as of Mar 31, 2022
Mar 20, 2012$190M then
HNW client RAUM$53.7M as of Mar 31, 2022
Mar 21, 2019$37.7M then
State-registered IARs (5.B.3)6 as of Mar 31, 2022
Mar 25, 20136 then
Employees (5.A)6 as of Mar 31, 2022
Mar 25, 201310 then
Private funds: no history
RAUM +4.8% over the last fiscal year+7.0% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$19.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$287,417derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.8%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$53.7M46%
  • Pension and profit-sharing plans$41.8M36%
  • Individuals$20.0M17%
Individual clients
75reported
HNW clients
23reported
Pension plan clients
42reported
Charitable clients
0reported
Accounts
402reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••• W••••••• J••••• · Membercontrol
      since 11/2004 · owns 10% to 25%
    • T•••••• J••••• E••••• · Membercontrol
      since 11/2004 · owns 10% to 25%
    • W••••••• J•••• W•••• · Member & Chief Compliance Officercontrol
      since 11/2004 · owns 10% to 25%
    • G••••••• B••••••• R•••••• · Member
      since 10/2011 · owns 10% to 25%
    • P••••••••• L•••• A•• · Member
      since 10/2011 · owns 10% to 25%
    • S••••••• R•••••• B•••• · Member
      since 10/2011 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • B••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 379 to 402
      Mar 30, 2021 to Mar 31, 2022
    • HNW clients · 21 to 23
      Mar 30, 2021 to Mar 31, 2022
    • Individual clients · 83 to 75
      Mar 30, 2021 to Mar 31, 2022
    • Pension plan clients · 46 to 42
      Mar 30, 2021 to Mar 31, 2022
    • Employees · 7 to 6
      Mar 30, 2021 to Mar 31, 2022
    • State-registered IARs · 7 to 6
      Mar 30, 2021 to Mar 31, 2022
    • Discretionary RAUM · $103M to $107M
      Mar 30, 2021 to Mar 31, 2022
    • HNW RAUM · $48.9M to $53.7M
      Mar 30, 2021 to Mar 31, 2022
    • Individual RAUM · $20.3M to $20.0M
      Mar 30, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $7.3M to $8.4M
      Mar 30, 2021 to Mar 31, 2022
    • Pension RAUM · $41.1M to $41.8M
      Mar 30, 2021 to Mar 31, 2022
    • RAUM · $110M to $116M
      Mar 30, 2021 to Mar 31, 2022
    • Accounts · 375 to 379
      Jun 24, 2020 to Mar 30, 2021
    • HNW clients · 20 to 21
      Jun 24, 2020 to Mar 30, 2021
    • Individual clients · 86 to 83
      Jun 24, 2020 to Mar 30, 2021
    • Pension plan clients · 57 to 46
      Jun 24, 2020 to Mar 30, 2021
    • Discretionary RAUM · $98.8M to $103M
      Jun 24, 2020 to Mar 30, 2021
    • HNW RAUM · $44.4M to $48.9M
      Jun 24, 2020 to Mar 30, 2021
    • Individual RAUM · $20.2M to $20.3M
      Jun 24, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $6.6M to $7.3M
      Jun 24, 2020 to Mar 30, 2021
    • Pension RAUM · $40.7M to $41.1M
      Jun 24, 2020 to Mar 30, 2021
    • RAUM · $105M to $110M
      Jun 24, 2020 to Mar 30, 2021
    • Accounts · 357 to 375
      Mar 21, 2019 to Mar 30, 2020
    • Advisory employees · 7 to 6
      Mar 21, 2019 to Mar 30, 2020
    • HNW clients · 17 to 20
      Mar 21, 2019 to Mar 30, 2020
    • Pension plan clients · 53 to 57
      Mar 21, 2019 to Mar 30, 2020
    • Employees · 8 to 7
      Mar 21, 2019 to Mar 30, 2020
    • Discretionary RAUM · $88.3M to $98.8M
      Mar 21, 2019 to Mar 30, 2020
    • HNW RAUM · $37.7M to $44.4M
      Mar 21, 2019 to Mar 30, 2020
    • Individual RAUM · $20.2M to $20.2M
      Mar 21, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $6.1M to $6.6M
      Mar 21, 2019 to Mar 30, 2020
    • Pension RAUM · $36.5M to $40.7M
      Mar 21, 2019 to Mar 30, 2020
    • RAUM · $94.4M to $105M
      Mar 21, 2019 to Mar 30, 2020
    • Accounts · 332 to 357
      May 10, 2018 to Mar 21, 2019
    • Charity clients · unset to 0.0
      May 10, 2018 to Mar 21, 2019
    • Corporate clients · unset to 0.0
      May 10, 2018 to Mar 21, 2019
    • HNW clients · 18 to 17
      May 10, 2018 to Mar 21, 2019
    • Individual clients · 75 to 86
      May 10, 2018 to Mar 21, 2019
    • Pension plan clients · 46 to 53
      May 10, 2018 to Mar 21, 2019
    • Pooled vehicle clients · unset to 0.0
      May 10, 2018 to Mar 21, 2019
    Signals
    2 dated events
    • L••• A•• P••••••••• left M•••• R••• W••••• A•••••••• L••••• for M••••• W•••••• L•• (registered 2022-04-21)
      Jul 27, 2022 · Advisor changed firm · fact
    • M•••• R••• W••••• A•••••••• L••••• filed its initial SEC registration (Form ADV)
      May 10, 2018 · 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.
    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