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

1••• I••••••••• A•••••••

Former SEC-registered adviserSt. Louis, MissouriCRD 141098SEC 801-66939IAPD
Legal name 1••• I••••••••• A•••••••• L••
Latest filing Feb 24, 2014
First filing on the tape Feb 17, 2012 · 3 filings
RAUM
$110M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$110M as of Feb 24, 2014
Feb 17, 2012$91.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 24, 2014
Feb 17, 20120 then
Employees (5.A)2 as of Feb 24, 2014
Mar 26, 20132 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2014; every figure names its basis
RAUM per advisor
$110MderivedRAUM 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
$794,670derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
138reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• C••••••• F•••••••• · Managing Director And Chief Compliance Officercontrol
    since 06/2006 · 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
  • Accounts · 131 to 138
    Mar 26, 2013 to Feb 24, 2014
  • Discretionary RAUM · $90.6M to $109M
    Mar 26, 2013 to Feb 24, 2014
  • Non-discretionary RAUM · $986,759 to $1.0M
    Mar 26, 2013 to Feb 24, 2014
  • RAUM · $91.6M to $110M
    Mar 26, 2013 to Feb 24, 2014
  • Advisory activities · 3 to 2
    Feb 17, 2012 to Mar 26, 2013
  • Employees · unset to 2.0
    Feb 17, 2012 to Mar 26, 2013
  • State-registered IARs · 0 to 1
    Feb 17, 2012 to Mar 26, 2013
  • Discretionary RAUM · $90.3M to $90.6M
    Feb 17, 2012 to Mar 26, 2013
  • Non-discretionary RAUM · $818,733 to $986,759
    Feb 17, 2012 to Mar 26, 2013
  • RAUM · $91.1M to $91.6M
    Feb 17, 2012 to Mar 26, 2013
  • Accounts · 117 to 131
    Feb 17, 2012 to Mar 26, 2013
  • Advisory employees · unset to 1.0
    Feb 17, 2012 to Mar 26, 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