DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
E•••• R•••• C•••••• G••••• L••
Latest filing Feb 11, 2026
First filing on the tape Mar 19, 2012 · 16 filings
SEC status approved since Jan 3, 2008
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$146M as of Feb 11, 2026
Mar 19, 2012$107M then
HNW client RAUM$146M as of Feb 11, 2026
Mar 6, 2018$62.9M then
State-registered IARs (5.B.3)0 as of Feb 11, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Feb 11, 2026
Feb 19, 20132 then
Private funds4 as of Mar 24, 2022
Mar 19, 20125 then
RAUM +6.5% over the last fiscal year+4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $20.9MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M100%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• R•••• M••••••••• L••no longer reported | Hedge Fund | $6.5M | 5 | Mar 19, 2012 |
| E•••• R•••• L••••••••• E•••••••• L••no longer reported | Hedge Fund | $5.0M | 5 | Mar 19, 2012 |
| E•••• R•••• S•••• C••• L••no longer reported | Hedge Fund | $473,687 | 8 | Mar 19, 2012 |
| E•••• R•••• I••••••••• L••no longer reported | Hedge Fund | $389,342 | 8 | Mar 19, 2012 |
| E•••• R•••• L•••• C••• L••no longer reported | Hedge Fund | $389,179 | 7 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• C••••••• · Chief Compliance Officer, Membercontrolsince 11/2007 · owns less than 5%
- M•••••••• D••••• T••••• · Managing Directorcontrolsince 11/2007 · owns less than 5%
Entity owners
- T•• D•••• T• P•••••• E••••• T•••• D•• 9•••••• · Memberdirect · owns 75% or more
- W•••••• P•••••• M••••••• · Trusteeindirect · owns 75% or more of T•• D•••• T• P•••••• E••••• T•••• D•• 9••••••
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
- Discretionary RAUM · $137M to $146MFeb 18, 2025 to Feb 11, 2026
- HNW RAUM · $137M to $146MFeb 18, 2025 to Feb 11, 2026
- RAUM · $137M to $146MFeb 18, 2025 to Feb 11, 2026
- Accounts · 87 to 51Mar 7, 2024 to Feb 18, 2025
- HNW clients · 8 to 7Mar 7, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 7, 2024 to Feb 18, 2025
- Discretionary RAUM · $144M to $137MMar 7, 2024 to Feb 18, 2025
- HNW RAUM · $144M to $137MMar 7, 2024 to Feb 18, 2025
- RAUM · $144M to $137MMar 7, 2024 to Feb 18, 2025
- Accounts · 88 to 87Mar 14, 2023 to Mar 7, 2024
- HNW clients · 10 to 8Mar 14, 2023 to Mar 7, 2024
- Discretionary RAUM · $129M to $144MMar 14, 2023 to Mar 7, 2024
- HNW RAUM · $129M to $144MMar 14, 2023 to Mar 7, 2024
- RAUM · $129M to $144MMar 14, 2023 to Mar 7, 2024
- Advisory activities · 3 to 2Mar 24, 2022 to Mar 14, 2023
- Pooled vehicle clients · 4 to 0Mar 24, 2022 to Mar 14, 2023
- Assets in custody · 7734743.0 to unsetMar 24, 2022 to Mar 14, 2023
- Custody of client assets · true to falseMar 24, 2022 to Mar 14, 2023
- Financial planning clients · 11-25 to 1-10Mar 24, 2022 to Mar 14, 2023
- HQ city · unset to ST. LOUISMar 24, 2022 to Mar 14, 2023
- HQ state · unset to MOMar 24, 2022 to Mar 14, 2023
- Private funds · 4 to unsetMar 24, 2022 to Mar 14, 2023
- Discretionary RAUM · $152M to $129MMar 24, 2022 to Mar 14, 2023
- HNW RAUM · $144M to $129MMar 24, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $7.7M to $0Mar 24, 2022 to Mar 14, 2023
- RAUM · $152M to $129MMar 24, 2022 to Mar 14, 2023
- Accounts · 74 to 88Mar 16, 2021 to Mar 24, 2022
- Pooled vehicle clients · 5 to 4Mar 16, 2021 to Mar 24, 2022
- Assets in custody · $68.6M to $7.7MMar 16, 2021 to Mar 24, 2022
- Private funds · 5 to 4Mar 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $136M to $152MMar 16, 2021 to Mar 24, 2022
- HNW RAUM · $67.6M to $144MMar 16, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $68.6M to $7.7MMar 16, 2021 to Mar 24, 2022
- RAUM · $136M to $152MMar 16, 2021 to Mar 24, 2022
- Accounts · 81 to 74Jun 17, 2020 to Mar 16, 2021
- HNW clients · 11 to 10Jun 17, 2020 to Mar 16, 2021
- Assets in custody · $62.9M to $68.6MJun 17, 2020 to Mar 16, 2021
- Discretionary RAUM · $123M to $136MJun 17, 2020 to Mar 16, 2021
- HNW RAUM · $59.9M to $67.6MJun 17, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $62.9M to $68.6MJun 17, 2020 to Mar 16, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- E•••• R•••• C•••••• G••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 314-961-9405reportedpublic record, Form ADV, Feb 11, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026