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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SEC-registered adviser
M•••••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 25, 2018 · 9 filings
SEC status approved since Nov 26, 2018
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
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
9 filings and snapshots on the tape
RAUM$221M as of Mar 30, 2026
Mar 30, 2019$97.1M then
HNW client RAUM$192M as of Mar 30, 2026
Mar 30, 2019$82.1M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 30, 20192 then
Employees (5.A)2 as of Mar 30, 2026
Mar 30, 20193 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $466,658derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$192M87%
- Individuals$28.5M13%
- Individual clients
- 89reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 473reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P•••••• M•••••••• | Saint Louis, Mo | Aug 31, 2010 | 17 y | 1 |
| E•••• M•••• M•••••••• | Saint Louis, Mo | Aug 21, 2017 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• P•••••• M•••••••• from P•••••••• L••Aug 31, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M••••••• P•••••• · Chief Compliance Officercontrolsince 07/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saint Louis, Mo · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 464 to 473Mar 28, 2025 to Mar 30, 2026
- HNW clients · 60 to 65Mar 28, 2025 to Mar 30, 2026
- Individual clients · 98 to 89Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $188M to $221MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $158M to $192MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $30.8M to $28.5MMar 28, 2025 to Mar 30, 2026
- RAUM · $188M to $221MMar 28, 2025 to Mar 30, 2026
- Accounts · 390 to 464Mar 29, 2024 to Mar 28, 2025
- HNW clients · 59 to 60Mar 29, 2024 to Mar 28, 2025
- Individual clients · 77 to 98Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $166M to $188MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $142M to $158MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $24.0M to $30.8MMar 29, 2024 to Mar 28, 2025
- RAUM · $166M to $188MMar 29, 2024 to Mar 28, 2025
- Accounts · 350 to 390Mar 29, 2023 to Mar 29, 2024
- HNW clients · 55 to 59Mar 29, 2023 to Mar 29, 2024
- Individual clients · 74 to 77Mar 29, 2023 to Mar 29, 2024
- Financial planning clients · 51-100 to 101-250Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $132M to $166MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $112M to $142MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $20.6M to $24.0MMar 29, 2023 to Mar 29, 2024
- RAUM · $132M to $166MMar 29, 2023 to Mar 29, 2024
- Accounts · 349 to 350Mar 30, 2022 to Mar 29, 2023
- HNW clients · 66 to 55Mar 30, 2022 to Mar 29, 2023
- Individual clients · 53 to 74Mar 30, 2022 to Mar 29, 2023
- Employees · 3 to 2Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $141M to $132MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $130M to $112MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $11.3M to $20.6MMar 30, 2022 to Mar 29, 2023
- RAUM · $141M to $132MMar 30, 2022 to Mar 29, 2023
- Accounts · 294 to 349Mar 30, 2021 to Mar 30, 2022
- HNW clients · 51 to 66Mar 30, 2021 to Mar 30, 2022
- Individual clients · 57 to 53Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $108M to $141MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $92.6M to $130MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $15.6M to $11.3MMar 30, 2021 to Mar 30, 2022
- RAUM · $108M to $141MMar 30, 2021 to Mar 30, 2022
- Accounts · 292 to 294Jun 30, 2020 to Mar 30, 2021
- HNW clients · 44 to 51Jun 30, 2020 to Mar 30, 2021
Signals
1 dated events
- M•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 25, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 314-246-0595reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-241-0595reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M••••••••WEALTHMANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.m••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-246-0595reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- m••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026