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

P••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserSt. Louis, MissouriCRD 143418SEC 801-67782IAPD
Latest filing Feb 27, 2019
First filing on the tape Mar 9, 2012 · 23 filings
RAUM
$218M
reported, Item 5.F
Discretionary
100%
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
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$30.1M gross assets
History
23 filings and snapshots on the tape
RAUM$218M as of Feb 27, 2019
Mar 9, 2012$80.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 27, 2019
Mar 9, 20120 then
Employees (5.A)9 as of Feb 27, 2019
Feb 19, 20138 then
Private funds1 as of Feb 27, 2019
Mar 9, 20121 then
RAUM -30% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$24.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$18.6M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.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$128M59%
  • Investment companies$42.0M19%
  • Insurance companies$24.3M11%
  • Pooled investment vehicles$17.3M8.0%
  • Other investment advisers$6.3M2.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$18.6M for 1 clientsreported
Compensation
% of AUM, 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
none on the tape
    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
      • R•••••• L•••• M•••• · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • R•••••• J•••• G••••• · Managing Directorcontrol
        since 10/2006 · owns 50% to 75%
      • A•••••• J•••• S• · Portfolio Manager
        since 01/2015 · owns 10% to 25%
      • F•••• K••••• A••••• · Portfolio Manager
        since 01/2015 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 9
        Mar 6, 2018 to Feb 27, 2019
      • Pension plan clients · unset to 2.0
        Mar 6, 2018 to Feb 27, 2019
      • Discretionary RAUM · $310M to $218M
        Mar 6, 2018 to Feb 27, 2019
      • Pension RAUM · $22.4M to $128M
        Mar 6, 2018 to Feb 27, 2019
      • Pooled vehicle RAUM · $18.6M to $17.3M
        Mar 6, 2018 to Feb 27, 2019
      • RAUM · $310M to $218M
        Mar 6, 2018 to Feb 27, 2019
      • Accounts · 23 to 12
        Dec 26, 2017 to Mar 6, 2018
      • Pooled vehicle clients · unset to 1.0
        Dec 26, 2017 to Mar 6, 2018
      • Assets in custody · $20.1M to $18.6M
        Dec 26, 2017 to Mar 6, 2018
      • Discretionary RAUM · $453M to $310M
        Dec 26, 2017 to Mar 6, 2018
      • Pension RAUM · unset to 22440085.0
        Dec 26, 2017 to Mar 6, 2018
      • Pooled vehicle RAUM · unset to 18626487.0
        Dec 26, 2017 to Mar 6, 2018
      • RAUM · $453M to $310M
        Dec 26, 2017 to Mar 6, 2018
      • Employees · 10 to 9
        Nov 9, 2017 to Dec 26, 2017
      • Other offices · unset to 1.0
        Mar 30, 2017 to Nov 9, 2017
      • Accounts · 20 to 23
        Dec 19, 2016 to Mar 3, 2017
      • Assets in custody · $25.0M to $20.1M
        Dec 19, 2016 to Mar 3, 2017
      • Discretionary RAUM · $319M to $453M
        Dec 19, 2016 to Mar 3, 2017
      • RAUM · $319M to $453M
        Dec 19, 2016 to Mar 3, 2017
      • Accounts · 18 to 20
        Nov 18, 2015 to Feb 12, 2016
      • Advisory activities · 3 to 4
        Nov 18, 2015 to Feb 12, 2016
      • Employees · 8 to 10
        Nov 18, 2015 to Feb 12, 2016
      • Discretionary RAUM · $280M to $319M
        Nov 18, 2015 to Feb 12, 2016
      • RAUM · $280M to $319M
        Nov 18, 2015 to Feb 12, 2016
      • Accounts · 13 to 18
        Jan 29, 2015 to Feb 19, 2015
      • Business name · P••••••• C•••••• M••••••••• L•• to P••••••• C•••••• M••••••••• I•••
        Jan 29, 2015 to Feb 19, 2015
      • Assets in custody · $24.5M to $25.0M
        Jan 29, 2015 to Feb 19, 2015
      • Legal name · P••••••• C•••••• M••••••••• L•• to P••••••• C•••••• M••••••••• I•••
        Jan 29, 2015 to Feb 19, 2015
      • Discretionary RAUM · $209M to $280M
        Jan 29, 2015 to Feb 19, 2015
      • RAUM · $209M to $280M
        Jan 29, 2015 to Feb 19, 2015
      • Succession · true to false
        Jan 29, 2015 to Feb 19, 2015
      • Organization form · Limited Liability Company to Corporation
        Jan 22, 2014 to Jan 29, 2015
      • Succession · false to true
        Jan 22, 2014 to Jan 29, 2015
      • Accounts · 7 to 13
        Jun 7, 2013 to Jan 22, 2014
      • Advisory employees · 3 to 6
        Jun 7, 2013 to Jan 22, 2014
      • Assets in custody · $22.5M to $24.5M
        Jun 7, 2013 to Jan 22, 2014
      • Discretionary RAUM · $139M to $209M
        Jun 7, 2013 to Jan 22, 2014
      • RAUM · $139M to $209M
        Jun 7, 2013 to Jan 22, 2014
      • Advisory employees · 6 to 3
        Jun 3, 2013 to Jun 7, 2013
      • Assets in custody · $20.5M to $22.5M
        Jun 3, 2013 to Jun 7, 2013
      Signals
      2 dated events
      • P••••••• C•••••• M••••••••• I••• reported RAUM $310.3M, down 31% from $452.6M (2017-12-26 to 2018-03-06)
        Mar 6, 2018 · RAUM change · derived
      • P••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 29, 2015 · Succession (Item 4) · 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