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

H• C•••••• M••••••••• L••

Former SEC-registered adviserClayton, MissouriCRD 136595SEC 801-64761IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 27, 2012 · 15 filings
RAUM
$5.7B
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
6.4%
$363M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$101M gross assets
History
15 filings and snapshots on the tape
RAUM$5.7B as of Mar 31, 2022
Mar 27, 2012$678M then
HNW client RAUM$353M as of Mar 31, 2022
Mar 29, 2018$139M then
State-registered IARs (5.B.3)6 as of Mar 31, 2022
Mar 20, 20135 then
Employees (5.A)9 as of Mar 31, 2022
Mar 20, 20137 then
Private funds1 as of Mar 31, 2022
Mar 27, 20121 then
RAUM +55% over the last fiscal year+39% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$949MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.8MderivedHNW RAUM over HNW clients
Average account
$9.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
36%derivedof RAUM
Institutional
92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+55%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
$178M, 82 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$5.2B92%
  • High-net-worth individuals$353M6.2%
  • Pooled investment vehicles$101M1.8%
  • Charitable organizations$10.9M0.2%
  • Individuals$10.6M0.2%
  • Insurance companies$504,8380.0%
  • Corporations and businesses$72,4410.0%
Individual clients
37reported
HNW clients
73reported
Pension plan clients
38reported
Charitable clients
5reported
Accounts
616reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$178M for 82 clientsreported
Compensation
% of AUM, fixed, performancereported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• K••••• M•••• · Executive Vice President
      since 01/2009 · owns less than 5%
    • S••••••••• M•••••••• R•••• · Executive Vice President
      since 01/2009 · owns less than 5%
    • W••••••••• B•••••••• M•••••• · Executive Vice President
      since 01/2017 · owns less than 5%
    Entity owners
    • M•••••• E• K••••• T••• M•• F••••• T•••• D•• 3•••••••• · Owner
      direct · owns 75% or more
    • K•••••• M•••••• E• · Trustee
      indirect · owns 75% or more of M•••••• E• K••••• T••• M•• F••••• T•••• D•• 3••••••••
    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
    • Accounts · 559 to 616
      Jan 31, 2022 to Mar 31, 2022
    • Advisory employees · 7 to 9
      Jan 31, 2022 to Mar 31, 2022
    • Charity clients · unset to 5.0
      Jan 31, 2022 to Mar 31, 2022
    • Corporate clients · unset to 1.0
      Jan 31, 2022 to Mar 31, 2022
    • HNW clients · 64 to 73
      Jan 31, 2022 to Mar 31, 2022
    • Individual clients · 34 to 37
      Jan 31, 2022 to Mar 31, 2022
    • Pension plan clients · 34 to 38
      Jan 31, 2022 to Mar 31, 2022
    • Assets in custody · $258M to $178M
      Jan 31, 2022 to Mar 31, 2022
    • Employees · 8 to 9
      Jan 31, 2022 to Mar 31, 2022
    • State-registered IARs · 5 to 6
      Jan 31, 2022 to Mar 31, 2022
    • Discretionary RAUM · $568M to $2.1B
      Jan 31, 2022 to Mar 31, 2022
    • HNW RAUM · $248M to $353M
      Jan 31, 2022 to Mar 31, 2022
    • Individual RAUM · $7.6M to $10.6M
      Jan 31, 2022 to Mar 31, 2022
    • Non-discretionary RAUM · $3.1B to $3.6B
      Jan 31, 2022 to Mar 31, 2022
    • Pension RAUM · $3.3B to $5.2B
      Jan 31, 2022 to Mar 31, 2022
    • Pooled vehicle RAUM · $93.0M to $101M
      Jan 31, 2022 to Mar 31, 2022
    • RAUM · $3.7B to $5.7B
      Jan 31, 2022 to Mar 31, 2022
    • Accounts · 572 to 559
      Jun 9, 2020 to Mar 31, 2021
    • HNW clients · 60 to 64
      Jun 9, 2020 to Mar 31, 2021
    • Individual clients · 35 to 34
      Jun 9, 2020 to Mar 31, 2021
    • Pension plan clients · 35 to 34
      Jun 9, 2020 to Mar 31, 2021
    • Assets in custody · $260M to $258M
      Jun 9, 2020 to Mar 31, 2021
    • Financial planning clients · 51-100 to 101-250
      Jun 9, 2020 to Mar 31, 2021
    • State-registered IARs · 6 to 5
      Jun 9, 2020 to Mar 31, 2021
    • Discretionary RAUM · $524M to $568M
      Jun 9, 2020 to Mar 31, 2021
    • HNW RAUM · $229M to $248M
      Jun 9, 2020 to Mar 31, 2021
    • Individual RAUM · $7.5M to $7.6M
      Jun 9, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $2.4B to $3.1B
      Jun 9, 2020 to Mar 31, 2021
    • Pension RAUM · $2.6B to $3.3B
      Jun 9, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $84.1M to $93.0M
      Jun 9, 2020 to Mar 31, 2021
    • RAUM · $3.0B to $3.7B
      Jun 9, 2020 to Mar 31, 2021
    • Accounts · 505 to 572
      Apr 25, 2019 to Mar 31, 2020
    • HNW clients · 48 to 60
      Apr 25, 2019 to Mar 31, 2020
    • Individual clients · 42 to 35
      Apr 25, 2019 to Mar 31, 2020
    • Pension plan clients · 29 to 35
      Apr 25, 2019 to Mar 31, 2020
    • Assets in custody · $244M to $260M
      Apr 25, 2019 to Mar 31, 2020
    • Discretionary RAUM · $392M to $524M
      Apr 25, 2019 to Mar 31, 2020
    • HNW RAUM · $140M to $229M
      Apr 25, 2019 to Mar 31, 2020
    • Individual RAUM · $10.4M to $7.5M
      Apr 25, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $1.7B to $2.4B
      Apr 25, 2019 to Mar 31, 2020
    Signals
    9 dated events
    • H• C•••••• M••••••••• L••'s advisors moved to O••••••••• (Clayton, MO): 5 of 5 registered, on the same day
      Jan 2, 2023 · Firm absorbed (people side) · derived
    • B••••••• M•••••• W•••••••• left H• C•••••• M••••••••• L•• for O••••••••• (registered 2022-01-26)
      Jan 2, 2023 · Advisor changed firm · fact
    • C••••••• C• S•••••• left H• C•••••• M••••••••• L•• for O••••••••• (registered 2022-01-25)
      Jan 2, 2023 · Advisor changed firm · fact
    • M••••••• R•••• S•••••••• left H• C•••••• M••••••••• L•• for O••••••••• (registered 2022-01-26)
      Jan 2, 2023 · Advisor changed firm · fact
    • D•••••• D••••• T••••••• left H• C•••••• M••••••••• L•• for O••••••••• (registered 2022-01-26)
      Jan 2, 2023 · Advisor changed firm · fact
    • J••••• R• P•••• left H• C•••••• M••••••••• L•• for O••••••••• (registered 2022-11-10)
      Jan 2, 2023 · Advisor changed firm · fact
    • H• C•••••• M••••••••• L•• reported RAUM $5.7B, up 55% from $3.7B (2022-01-31 to 2022-03-31)
      Mar 31, 2022 · RAUM change · derived
    • H• C•••••• M••••••••• L•• reported RAUM $3.0B, up 39% from $2.1B (2019-04-25 to 2020-03-31)
      Mar 31, 2020 · RAUM change · derived
    • H• C•••••• M••••••••• L•• reported RAUM $2.4B, up 65% from $1.5B (2017-03-24 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    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