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
F•••••• F•••••••• P•••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Nov 25, 2024 · 7 filings
SEC status approved since Jan 2, 2025
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$160M as of Apr 16, 2026
Jan 8, 2025$140M then
HNW client RAUM$110M as of Apr 16, 2026
Mar 28, 2025$98.0M then
State-registered IARs (5.B.3)1 as of Apr 16, 2026
Jan 8, 20252 then
Employees (5.A)2 as of Apr 16, 2026
Jan 8, 20253 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $349,345derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $65.7M, 139 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)
- 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
- High-net-worth individuals$110M69%
- Individuals$50.0M31%
- Individual clients
- 89reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 458reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.7M for 139 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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•••••• M•••••• L•••••••Certified Financial Planner | Saint Charles, Mo | Jan 17, 2011 | 18 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
- N•••• A•• L••••• to T•• M••••• F••• S••••Sep 13, 2011 · Other
Joined, latest
- J•••••• M•••••• L••••••• from M••••• G•••• I••••••••• A•••••••• L••Jan 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J••••••• M•••••• · President/Ccocontrolsince 01/2011 · owns 75% or more
- W••••• J•••• D•••• · Foundercontrolsince 08/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- St. Louis, MO2 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 27, 2026 to Apr 16, 2026
- Employees · 3 to 2Mar 27, 2026 to Apr 16, 2026
- State-registered IARs · 2 to 1Mar 27, 2026 to Apr 16, 2026
- Accounts · 500 to 458May 29, 2025 to Mar 27, 2026
- Assets in custody · unset to 65710540.0May 29, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMay 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $142M to $160MMay 29, 2025 to Mar 27, 2026
- HNW RAUM · $98.0M to $110MMay 29, 2025 to Mar 27, 2026
- Individual RAUM · $44.0M to $50.0MMay 29, 2025 to Mar 27, 2026
- RAUM · $142M to $160MMay 29, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 28, 2025 to May 29, 2025
- HNW clients · unset to 60.0Jan 8, 2025 to Mar 28, 2025
- Individual clients · unset to 89.0Jan 8, 2025 to Mar 28, 2025
- Discretionary RAUM · $0 to $142MJan 8, 2025 to Mar 28, 2025
- HNW RAUM · unset to 98000000.0Jan 8, 2025 to Mar 28, 2025
- Individual RAUM · unset to 44000000.0Jan 8, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $140M to $0Jan 8, 2025 to Mar 28, 2025
- RAUM · $140M to $142MJan 8, 2025 to Mar 28, 2025
Signals
1 dated events
- F•••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 314-754-9165reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 636-922-9252reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fidelis-financial-planning-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••••FP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 636-922-9252reportedpublic record, Form ADV, Apr 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026