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Former SEC-registered adviser

C••••••••• W••••• M••••••••• L••

Former SEC-registered adviserChesterfield, MissouriCRD 153714SEC 801-121918IAPD
Latest filing May 4, 2022
First filing on the tape Jun 29, 2021 · 6 filings
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 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$116M as of May 4, 2022
Jun 29, 2021$105M then
HNW client RAUM$74.0M as of May 4, 2022
Jun 29, 2021$63.5M then
State-registered IARs (5.B.3)2 as of May 4, 2022
Jun 29, 20212 then
Employees (5.A)4 as of May 4, 2022
Jun 29, 20214 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 2022; every figure names its basis
RAUM per advisor
$58.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
119derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$490,671derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
Custody
$64.2M, 129 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)
  • 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$74.0M64%
  • Individuals$42.3M36%
Individual clients
204reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
237reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$64.2M for 129 clientsreported
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
      • S•••••••• J••••••• N• · Vice Presidentcontrol
        since 01/2011 · owns less than 5%
      • S•••••• J•••• P••• · President, Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      Entity owners
      • M••••• G••••• A••••••• I••• · Parent Company
        direct · 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 · 397 to 237
        Nov 24, 2021 to Jan 17, 2022
      • HNW clients · 30 to 33
        Nov 24, 2021 to Jan 17, 2022
      • Individual clients · 242 to 204
        Nov 24, 2021 to Jan 17, 2022
      • Assets in custody · $58.3M to $64.2M
        Nov 24, 2021 to Jan 17, 2022
      • Discretionary RAUM · $96.1M to $116M
        Nov 24, 2021 to Jan 17, 2022
      • HNW RAUM · $63.5M to $74.0M
        Nov 24, 2021 to Jan 17, 2022
      • Individual RAUM · $41.7M to $42.3M
        Nov 24, 2021 to Jan 17, 2022
      • Non-discretionary RAUM · $9.1M to $0
        Nov 24, 2021 to Jan 17, 2022
      • RAUM · $105M to $116M
        Nov 24, 2021 to Jan 17, 2022
      Signals
      1 dated events
      • C••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 29, 2021 · 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