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Former SEC-registered adviser

S••• C••••• A•••••••• L••

Former SEC-registered adviserSaint Louis, MissouriCRD 153299SEC 801-123287IAPD
Latest filing Jan 21, 2024
First filing on the tape Jan 20, 2012 · 6 filings
RAUM
$111M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$111M as of Jan 21, 2024
Feb 9, 2023$106M then
HNW client RAUM$110M as of Jan 21, 2024
Feb 9, 2023$104M then
State-registered IARs (5.B.3)1 as of Jan 21, 2024
Feb 9, 20231 then
Employees (5.A)1 as of Jan 21, 2024
Feb 9, 20231 then
Private funds: no history
RAUM +4.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 21, 2024; every figure names its basis
RAUM per advisor
$111MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.4MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
52%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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$110M99%
  • Individuals$1.1M1.0%
Individual clients
3reported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
52reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • H•••••• E•••••• W•••••• · Managing Member/Chief Compliance Officercontrol
        since 08/2009 · owns 75% or more
      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
      • Accounts · 53 to 52
        Feb 9, 2023 to Jan 21, 2024
      • HNW clients · 12 to 13
        Feb 9, 2023 to Jan 21, 2024
      • Individual clients · 4 to 3
        Feb 9, 2023 to Jan 21, 2024
      • Discretionary RAUM · $55.0M to $57.4M
        Feb 9, 2023 to Jan 21, 2024
      • HNW RAUM · $104M to $110M
        Feb 9, 2023 to Jan 21, 2024
      • Individual RAUM · $1.5M to $1.1M
        Feb 9, 2023 to Jan 21, 2024
      • Non-discretionary RAUM · $50.8M to $53.3M
        Feb 9, 2023 to Jan 21, 2024
      • RAUM · $106M to $111M
        Feb 9, 2023 to Jan 21, 2024
      • Accounts · 50 to 53
        Jan 28, 2022 to Feb 9, 2023
      • HNW clients · 11 to 12
        Jan 28, 2022 to Feb 9, 2023
      • Individual clients · 6 to 4
        Jan 28, 2022 to Feb 9, 2023
      • Discretionary RAUM · $74.0M to $55.0M
        Jan 28, 2022 to Feb 9, 2023
      • HNW RAUM · $121M to $104M
        Jan 28, 2022 to Feb 9, 2023
      • Individual RAUM · $2.1M to $1.5M
        Jan 28, 2022 to Feb 9, 2023
      • Non-discretionary RAUM · $48.7M to $50.8M
        Jan 28, 2022 to Feb 9, 2023
      • RAUM · $123M to $106M
        Jan 28, 2022 to Feb 9, 2023
      • Accounts · 30 to 50
        Jan 20, 2012 to Jan 21, 2022
      • Advisory employees · unset to 1.0
        Jan 20, 2012 to Jan 21, 2022
      • HNW clients · unset to 11.0
        Jan 20, 2012 to Jan 21, 2022
      • Individual clients · unset to 6.0
        Jan 20, 2012 to Jan 21, 2022
      • Employees · unset to 1.0
        Jan 20, 2012 to Jan 21, 2022
      • State-registered IARs · unset to 1.0
        Jan 20, 2012 to Jan 21, 2022
      • Other offices · unset to 0.0
        Jan 20, 2012 to Jan 21, 2022
      • Discretionary RAUM · $11.9M to $74.0M
        Jan 20, 2012 to Jan 21, 2022
      • HNW RAUM · unset to 120580739.0
        Jan 20, 2012 to Jan 21, 2022
      • Individual RAUM · unset to 2077401.0
        Jan 20, 2012 to Jan 21, 2022
      • Non-discretionary RAUM · $29.1M to $48.7M
        Jan 20, 2012 to Jan 21, 2022
      • RAUM · $41.0M to $123M
        Jan 20, 2012 to Jan 21, 2022
      Signals
      1 dated events
      • S••• C••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 21, 2022 · 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.
      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