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
C••••••••• S••••• A•••••••• L••
Latest filing Apr 2, 2026
First filing on the tape May 21, 2018 · 31 filings
SEC status approved since Jun 21, 2018
RAUM
$315M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
43%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$315M as of Apr 2, 2026
Mar 21, 2019$126M then
HNW client RAUM$96.7M as of Apr 2, 2026
Mar 21, 2019$17.0M then
State-registered IARs (5.B.3)4 as of Apr 2, 2026
Mar 21, 20190 then
Employees (5.A)4 as of Apr 2, 2026
Mar 21, 20191 then
Private funds: no history
RAUM +35% over the last fiscal year+20% a year over threeIARs 2 to 4offices 0 to 2
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $399,116derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +234%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $14.8M, 32 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
- is an insurance broker or agent (6.A.6)
- 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
- Other investment advisers$179M57%
- High-net-worth individuals$96.7M31%
- Individuals$37.5M12%
- Pension and profit-sharing plans$1.2M0.4%
- Corporations and businesses$620,8890.2%
- Individual clients
- 164reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 790reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.8M for 32 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.43 fund_share=0.57 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• E•••• G••••• | St. Louis, Mo | Jul 13, 2007 | 34 y | 4 |
| B•••• W••• G••••• | St. Louis, Mo | Feb 11, 2022 | 16 y | 0 |
| A••• K••• S••••• | St. Louis, Mo | Jan 2, 2026 | 42 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••• S•••••• T••••••• to R•••• C•••••• M••••••••• I•••Oct 29, 2009 · RIA to a newly registered adviser
Joined, latest
- A••• K••• S••••• from C••••••••• W•••••• L••Jan 2, 2026 · RIA to RIA
- D•••• E•••• G••••• from R••••••• C••••• A••••••• S•••••••Jul 13, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• D••••• E•••• · Managing Membercontrolsince 10/2009 · owns 75% or more
- G•••••• B••••• W••• · Chief Financial Officersince 02/2022 · owns less than 5%
- S••••••••• G•••• J••••• · Ccosince 10/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 2, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $234,036,242 to $315,301,456, advisors 2 to 4, private clients 61 to 204, offices 0 to 2 (2025-02-27 to 2026-04-02)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Apr 2, 2026accounts (Item 5.F.2.f) moved from 465.0 to 790.0 (+70.0%) between the annual amendments of 2025-02-27 and 2026-04-02; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- RAUM up 25 %Change between filings · filing Apr 2, 2026RAUM (Item 5.F) moved from $234,036,242 to $315,301,456 (+35.0%) between the annual amendments of 2025-02-27 and 2026-04-02; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
- client mix shiftChange between filings · filing Apr 2, 2026private-client share of RAUM moved from 23.0% to 43.0% between the annual amendments of 2025-02-27 and 2026-04-02peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 2, 2026institutional share of RAUM moved from 77.0% to 57.0% between the annual amendments of 2025-02-27 and 2026-04-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 17, 2026 to Apr 2, 2026
- State-registered IARs · 3 to 4Mar 17, 2026 to Apr 2, 2026
- Other offices · 1 to 2Mar 17, 2026 to Apr 2, 2026
- Accounts · 465 to 790Jan 7, 2026 to Mar 17, 2026
- Advisory activities · 1 to 2Jan 7, 2026 to Mar 17, 2026
- HNW clients · 18 to 40Jan 7, 2026 to Mar 17, 2026
- Individual clients · 43 to 164Jan 7, 2026 to Mar 17, 2026
- Assets in custody · unset to 14794014.0Jan 7, 2026 to Mar 17, 2026
- Custody of client assets · false to trueJan 7, 2026 to Mar 17, 2026
- Employees · 3 to 4Jan 7, 2026 to Mar 17, 2026
- Discretionary RAUM · $143M to $209MJan 7, 2026 to Mar 17, 2026
- HNW RAUM · $46.0M to $96.7MJan 7, 2026 to Mar 17, 2026
- Individual RAUM · $7.4M to $37.5MJan 7, 2026 to Mar 17, 2026
- Non-discretionary RAUM · $91.0M to $106MJan 7, 2026 to Mar 17, 2026
- Pension RAUM · $2.0M to $1.2MJan 7, 2026 to Mar 17, 2026
- RAUM · $234M to $315MJan 7, 2026 to Mar 17, 2026
- Advisory employees · 2 to 3May 7, 2025 to Jan 7, 2026
- Employees · 2 to 3May 7, 2025 to Jan 7, 2026
- State-registered IARs · 2 to 3May 7, 2025 to Jan 7, 2026
- Other offices · 0 to 1May 7, 2025 to Jan 7, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to May 7, 2025
- Accounts · 459 to 465Jan 31, 2025 to Feb 27, 2025
- Corporate clients · 0.0 to unsetJan 31, 2025 to Feb 27, 2025
- HNW clients · 12 to 18Jan 31, 2025 to Feb 27, 2025
- Individual clients · 41 to 43Jan 31, 2025 to Feb 27, 2025
- Assets in custody · 52582.0 to unsetJan 31, 2025 to Feb 27, 2025
- Custody of client assets · true to falseJan 31, 2025 to Feb 27, 2025
- Discretionary RAUM · $211M to $143MJan 31, 2025 to Feb 27, 2025
- HNW RAUM · $41.0M to $46.0MJan 31, 2025 to Feb 27, 2025
- Individual RAUM · $9.8M to $7.4MJan 31, 2025 to Feb 27, 2025
- Non-discretionary RAUM · $0 to $91.0MJan 31, 2025 to Feb 27, 2025
- Pension RAUM · $1.5M to $2.0MJan 31, 2025 to Feb 27, 2025
- RAUM · $211M to $234MJan 31, 2025 to Feb 27, 2025
- Organization form · Corporation to Limited Liability CompanyMar 7, 2024 to Jan 31, 2025
- Accounts · 453 to 459Dec 6, 2023 to Mar 7, 2024
- HNW clients · 15 to 12Dec 6, 2023 to Mar 7, 2024
- Individual clients · 35 to 41Dec 6, 2023 to Mar 7, 2024
- Assets in custody · $45,333 to $52,582Dec 6, 2023 to Mar 7, 2024
- Organization form · Limited Liability Company to CorporationDec 6, 2023 to Mar 7, 2024
- Discretionary RAUM · $182M to $211MDec 6, 2023 to Mar 7, 2024
Signals
1 dated events
- C••••••••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 21, 2018 · 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
- 314-862-5155reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-862-5155reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- csastl.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- csastl.com/managementreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026