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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G•••• C•••••••••
Legal name T•• C••••••••• L••
Latest filing Mar 28, 2025
First filing on the tape Jan 15, 2018 · 20 filings
SEC status approved since Feb 15, 2018
RAUM
$635M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
82%
$520M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$635M as of Mar 28, 2025
Mar 12, 2019$292M then
HNW client RAUM$399M as of Mar 28, 2025
Mar 12, 2019$229M then
State-registered IARs (5.B.3)13 as of Mar 28, 2025
Mar 12, 20198 then
Employees (5.A)20 as of Mar 28, 2025
Mar 12, 201912 then
Private funds: no history
RAUM +4.9% over the last fiscal year+5.1% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- $48.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $337,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $126M, 203 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)
- compensates non-employees for client referrals (8.G.2)
- 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$399M63%
- Individuals$121M19%
- Pension and profit-sharing plans$60.0M9.4%
- State and municipal entities$54.9M8.6%
- Individual clients
- 579reported
- HNW clients
- 178reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,880reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 203 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- B•••• A•••• R•••••• to S••••• F••••••••• L••Mar 29, 2025 · RIA to affiliated broker-dealer or bank
- E•••• M••• S•••••••• to S••••• F••••••••• L••Mar 29, 2025 · RIA to affiliated broker-dealer or bank
- C••• M•••••• H••••••• to S••••• F••••••••• L••Mar 29, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• S••••• to S••••• F••••••••• L••Mar 29, 2025 · RIA to affiliated broker-dealer or bank
- A••••• R••••• I•••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- Q•••••• A••••• H•••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- T••• R••••• B••••••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- B••••••• M• K••••••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• H••••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- S•••• H••••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- R••••• J• D•••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- N••••••• P••• W••••••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• P••••• to S••••• F••••••••• L••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
- C••••• S•••• S••••••••• to S••••• F••••••••• L••Jan 23, 2025 · RIA to affiliated broker-dealer or bank
- S••••• D••••• C•• F•• to U••• B•••••• I••••••••• I•••Jun 30, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••••• S•••• S••••••••• from S•••••• I••••••••• L••Oct 30, 2024 · RIA to RIA
- A••••• R••••• I•••••• from E••••• J••••Jun 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• H••••••• from E••••• J••••Mar 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- T••• R••••• B••••••••• from W•••••• • R•••Apr 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- E•••• M••• S•••••••• from M••••• S••••••Dec 5, 2019 · Wirehouse to independent RIA
- C••• M•••••• H••••••• from P••••••• W••••• A••••••••May 3, 2018 · Other
- B••••••• M• K••••••••• from L•• F•••••••• L••Mar 21, 2017 · RIA to RIA
- S••••• D••••• C•• F•• from L•• F•••••••• L••Dec 7, 2016 · Other
- Q•••••• A••••• H•••••• from L•• F•••••••• L••Nov 18, 2016 · Other
- B•••• A•••• R•••••• from L•• F•••••••• L••Jan 28, 2008 · RIA to RIA
- M•••••• J••••• S••••• from L•• F•••••••• L••Jan 28, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 13 left for S••••• F••••••••• L••Mar 28, 2025 · Kirkwood, Mo · Firm absorbed
- 3 joined from L•• F•••••••• L••Jul 14, 2017 · Town Country, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••• L•••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- H•••••••• C•••• M•••••• · Managing Membercontrolsince 01/2018 · owns 25% to 50%
- R••••••• B••••• A•••• · Managing Membercontrolsince 08/2005 · owns 25% to 50%
- S•••••• M••••••• J••••• · Managing Membercontrolsince 08/2005 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• M•••••• H•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkwood, Mo · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,465 to 1,880Mar 28, 2024 to Mar 28, 2025
- HNW clients · 93 to 178Mar 28, 2024 to Mar 28, 2025
- Individual clients · 1,296 to 579Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 14Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 12 to 13Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $505M to $523MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $252M to $399MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $250M to $121MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $100M to $112MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $55.1M to $60.0MMar 28, 2024 to Mar 28, 2025
- RAUM · $605M to $635MMar 28, 2024 to Mar 28, 2025
- Accounts · 2,187 to 2,465May 19, 2023 to Mar 28, 2024
- Advisory employees · 17 to 18May 19, 2023 to Mar 28, 2024
- HNW clients · 112 to 93May 19, 2023 to Mar 28, 2024
- Individual clients · 2,067 to 1,296May 19, 2023 to Mar 28, 2024
- Pension plan clients · 4 to 10May 19, 2023 to Mar 28, 2024
- Assets in custody · $40.8M to $126MMay 19, 2023 to Mar 28, 2024
- Employees · 19 to 20May 19, 2023 to Mar 28, 2024
- Insurance-licensed employees · 10 to 1May 19, 2023 to Mar 28, 2024
- State-registered IARs · 14 to 12May 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $440M to $505MMay 19, 2023 to Mar 28, 2024
- HNW RAUM · $212M to $252MMay 19, 2023 to Mar 28, 2024
- Individual RAUM · $223M to $250MMay 19, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $56.4M to $100MMay 19, 2023 to Mar 28, 2024
- Pension RAUM · $16.0M to $55.1MMay 19, 2023 to Mar 28, 2024
- RAUM · $496M to $605MMay 19, 2023 to Mar 28, 2024
- Accounts · 2,047 to 2,187Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 18 to 17Mar 31, 2022 to Mar 30, 2023
- Advisory activities · 4 to 3Mar 31, 2022 to Mar 30, 2023
- HNW clients · 128 to 112Mar 31, 2022 to Mar 30, 2023
- Individual clients · 1,915 to 2,067Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $35.0M to $40.8MMar 31, 2022 to Mar 30, 2023
- Employees · 21 to 19Mar 31, 2022 to Mar 30, 2023
- Insurance-licensed employees · 1 to 10Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 11 to 14Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $474M to $440MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $246M to $212MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $224M to $223MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $72.3M to $56.4MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $20.1M to $16.0MMar 31, 2022 to Mar 30, 2023
Signals
23 dated events
- G•••• C••••••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $635.0M)Jun 2, 2025 · Left the SEC roster · derived
- B•••• A•••• R•••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 29, 2025 · Advisor changed firm · fact
- C••• M•••••• H••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 29, 2025 · Advisor changed firm · fact
- M•••••• J••••• S••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 29, 2025 · Advisor changed firm · fact
- E•••• M••• S•••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 29, 2025 · Advisor changed firm · fact
- N••••••• P••• W••••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- B••••••• M• K••••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- A••••• R••••• I•••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- Q•••••• A••••• H•••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- T••• R••••• B••••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- G•••• C•••••••••'s advisors moved to S••••• F••••••••• L•• (Kirkwood, MO): 13 of 13 registered, a day apartMar 28, 2025 · Firm absorbed (people side) · derived
- S•••• H••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- R••••• J• D•••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- M•••••• P••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- J•••• M•••••• H••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2024-11-04)Mar 28, 2025 · Advisor changed firm · fact
- C••••• S•••• S••••••••• left G•••• C••••••••• for S••••• F••••••••• L•• (registered 2025-01-14)Jan 23, 2025 · Advisor changed firm · fact
- S••••• D••••• C•• F•• left G•••• C••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-07-24)Jun 30, 2023 · Advisor changed firm · fact
- L•••• C•••••• D•••••• (Chief Compliance Officer) appeared on Schedule A of G•••• C•••••••••Mar 31, 2022 · Control person joined · fact
- G•••• C••••••••• reported RAUM $535.9M, up 25% from $427.8M (2020-12-09 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- G•••• C••••••••• reported RAUM $427.8M, up 47% from $292.0M (2019-05-16 to 2020-03-09)Mar 9, 2020 · RAUM change · derived
- M•••••• Chad H••••••• (Managing Member) appeared on Schedule A of G•••• C•••••••••Mar 12, 2019 · Control person joined · fact
- G•••• C••••••••• reported RAUM $239.0M, up 139% from $100.0M (2018-01-25 to 2018-07-19)Jul 19, 2018 · RAUM change · derived
- G•••• C••••••••• filed its initial SEC registration (Form ADV)Jan 15, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- TAP C•••••••••, LLC · Family Officesshared cik · office
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