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

H•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserSt. Louis, MissouriCRD 149294SEC 801-70028IAPD
Latest filing Aug 21, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
0.0%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2015
Mar 29, 2012$16B then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 30, 2015
Mar 26, 20136 then
Employees (5.A)6 as of Mar 30, 2015
Mar 26, 20137 then
Private funds: no history
RAUM -93% over the last fiscal year-54% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 21, 2015; every figure names its basis
RAUM per advisor
$253MderivedRAUM 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
$117MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-93%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • G••••• J•••••• D•••• · Executive Officercontrol
        since 12/2008 · owns less than 5%
      • L••••• C••••••• J•••• · Managing Director & Chief Compliance Officercontrol
        since 12/2008 · owns less than 5%
      • R•••• S•••••• M••• · Executive Officercontrol
        since 12/2008 · owns less than 5%
      • S••••• J•••• R•••••• · Portfolio Managercontrol
        since 12/2008 · owns 25% to 50%
      • G••••• J•••••• D•••• · Shareholdercontrol
        since 06/2001 · owns 25% to 50% of M••••••••• H•••••••• L••
      • L••••• C••••••• J•••• · Shareholdercontrol
        since 06/2001 · owns F of M••••••••• H•••••••• L••
      • R•••• S•••••• M••• · Shareholdercontrol
        since 06/2001 · owns 25% to 50% of M••••••••• H•••••••• L••
      Entity owners
      • M••••••••• H•••••••• L•• · Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $1.5B to $1.5B
        Mar 30, 2015 to Aug 21, 2015
      • RAUM · $1.5B to $1.5B
        Mar 30, 2015 to Aug 21, 2015
      • Accounts · 14 to 13
        Mar 28, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $23B to $1.5B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $23B to $1.5B
        Mar 28, 2014 to Mar 30, 2015
      • Accounts · 15 to 14
        Mar 26, 2013 to Mar 28, 2014
      • Advisory employees · 4 to 3
        Mar 26, 2013 to Mar 28, 2014
      • Employees · 7 to 6
        Mar 26, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $19B to $23B
        Mar 26, 2013 to Mar 28, 2014
      • RAUM · $19B to $23B
        Mar 26, 2013 to Mar 28, 2014
      • Accounts · 12 to 15
        Mar 29, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Mar 26, 2013
      • BD registered reps · unset to 6.0
        Mar 29, 2012 to Mar 26, 2013
      • Employees · unset to 7.0
        Mar 29, 2012 to Mar 26, 2013
      • Insurance-licensed employees · 0 to 2
        Mar 29, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 6.0
        Mar 29, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $16B to $19B
        Mar 29, 2012 to Mar 26, 2013
      • RAUM · $16B to $19B
        Mar 29, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      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