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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SEC-registered adviser
U••• I••••••••• C•••••••••
Latest filing Aug 20, 2026
First filing on the tape Mar 9, 2012 · 26 filings
SEC status approved since Jul 7, 2005
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Aug 20, 2026
Feb 19, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 20, 2026
Mar 9, 20120 then
Employees (5.A)2 as of Aug 20, 2026
Feb 19, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 1reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G••••• R•••••Chartered Financial Analyst | Chesterfield, Mo | Nov 23, 2021 | 32 y | 1 |
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
- J••• G••••• R••••• from A•••• C••••••••• G••••• L••Nov 23, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• B••••• A••••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- R•••••• J•••• G••••• · Managing Directorcontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
- C•• C•••••• M•••••••••investment adviseryRAUM $27.4M
Advisers that list U••• I••••••••• C••••••••• as a related person
- 143418 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 3 to 2Oct 1, 2025 to Feb 5, 2026
- Corporate clients · unset to 0.0Oct 1, 2025 to Feb 5, 2026
- Pension plan clients · unset to 1.0Oct 1, 2025 to Feb 5, 2026
- Pension RAUM · 0.0 to unsetOct 1, 2025 to Feb 5, 2026
- Accounts · unset to 0.0Mar 28, 2024 to Feb 19, 2025
- Advisory employees · 3 to 2Mar 28, 2024 to Feb 19, 2025
- Employees · 4 to 3Mar 28, 2024 to Feb 19, 2025
- Financial planning clients · unset to Mar 28, 2024 to Feb 19, 2025
- Discretionary RAUM · unset to 0.0Mar 28, 2024 to Feb 19, 2025
- Non-discretionary RAUM · unset to 0.0Mar 28, 2024 to Feb 19, 2025
- RAUM · unset to 0.0Mar 28, 2024 to Feb 19, 2025
- Advisory employees · 4 to 3Mar 28, 2022 to Mar 9, 2023
- Employees · 5 to 4Mar 28, 2022 to Mar 9, 2023
- State-registered IARs · 0 to 1Mar 28, 2022 to Mar 9, 2023
- Related adviser · false to trueMar 28, 2022 to Mar 9, 2023
- Other offices · 0 to 1Nov 30, 2021 to Mar 28, 2022
- Employees · 4 to 5May 3, 2019 to Mar 9, 2020
- HQ city · ST. LOUIS to CHESTERFIELDMay 3, 2019 to Mar 9, 2020
- Advisory activities · 2 to 3Mar 14, 2019 to May 3, 2019
- Related adviser · true to falseMar 14, 2019 to May 3, 2019
- Pension plan clients · 1.0 to unsetFeb 13, 2018 to Mar 14, 2019
- Employees · 9 to 4Feb 13, 2018 to Mar 14, 2019
- Advisory employees · 3 to 4Oct 25, 2017 to Feb 13, 2018
- Pension plan clients · unset to 1.0Oct 25, 2017 to Feb 13, 2018
- Employees · 3 to 9Oct 25, 2017 to Feb 13, 2018
- Pension RAUM · unset to 0.0Oct 25, 2017 to Feb 13, 2018
- Other offices · unset to 0.0Mar 20, 2017 to Oct 25, 2017
- Employees · 4 to 3Feb 2, 2015 to Feb 2, 2015
- Advisory employees · unset to 3.0Sep 17, 2012 to Feb 19, 2013
- Employees · unset to 4.0Sep 17, 2012 to Feb 19, 2013
Signals
2 dated events
- Arturo Bryan Lopez (Chief Compliance Officer) appeared on Schedule A of U••• I••••••••• C•••••••••Feb 22, 2024 · Control person joined · fact
- Marie Lucy Rimsky (Chief Compliance Officer) no longer on Schedule A of U••• I••••••••• C••••••••• (listed 2023-03-09, absent 2024-02-22)Feb 22, 2024 · Control person left · inference
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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-965-0426reportedpublic record, Form ADV, Aug 20, 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
- No RAUM reportedderiveda 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