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
R••••• C•••••• M••••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Feb 3, 2022 · 7 filings
SEC status approved since Mar 9, 2022
RAUM
$163M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$163M
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
7 filings and snapshots on the tape
RAUM$163M as of Jan 23, 2026
Mar 1, 2023$116M then
HNW client RAUM$118M as of Jan 23, 2026
Mar 1, 2023$74.2M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Mar 1, 20231 then
Employees (5.A)1 as of Jan 23, 2026
Mar 1, 20231 then
Private funds: no history
RAUM +4.8% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $393,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $6.2M, 22 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
- 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)
- 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$118M73%
- Individuals$44.7M27%
- Individual clients
- 111reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 415reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2M for 22 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••••• R•••••Certified Financial Planner | Ellisville, Mo | Jun 2, 2011 | 29 y | 2 |
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
- G••• J••••• S•••••••• to A•• A•••• M••••••••• L••Jul 13, 2011 · Other
Joined, latest
- J•••••• M•••••• R••••• from W•••• F•••• A•••••••Jun 2, 2011 · Wirehouse to independent RIA
- G••• J••••• S•••••••• from C•••• P••••••••• A•••••••• L••May 11, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• J••••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2011 · 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 · 406 to 415Feb 11, 2025 to Jan 23, 2026
- Individual clients · 107 to 111Feb 11, 2025 to Jan 23, 2026
- Discretionary RAUM · $148M to $155MFeb 11, 2025 to Jan 23, 2026
- HNW RAUM · $114M to $118MFeb 11, 2025 to Jan 23, 2026
- Individual RAUM · $41.0M to $44.7MFeb 11, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $7.7M to $8.0MFeb 11, 2025 to Jan 23, 2026
- RAUM · $156M to $163MFeb 11, 2025 to Jan 23, 2026
- Accounts · 385 to 406May 15, 2024 to Feb 11, 2025
- HNW clients · 41 to 48May 15, 2024 to Feb 11, 2025
- Individual clients · 106 to 107May 15, 2024 to Feb 11, 2025
- Financial planning clients · unset to May 15, 2024 to Feb 11, 2025
- Discretionary RAUM · $124M to $148MMay 15, 2024 to Feb 11, 2025
- HNW RAUM · $92.0M to $114MMay 15, 2024 to Feb 11, 2025
- Individual RAUM · $40.1M to $41.0MMay 15, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $8.0M to $7.7MMay 15, 2024 to Feb 11, 2025
- RAUM · $132M to $156MMay 15, 2024 to Feb 11, 2025
- Accounts · 378 to 385Mar 1, 2023 to Feb 14, 2024
- HNW clients · 38 to 41Mar 1, 2023 to Feb 14, 2024
- Individual clients · 113 to 106Mar 1, 2023 to Feb 14, 2024
- Assets in custody · $9.2M to $6.2MMar 1, 2023 to Feb 14, 2024
- Discretionary RAUM · $108M to $124MMar 1, 2023 to Feb 14, 2024
- HNW RAUM · $74.2M to $92.0MMar 1, 2023 to Feb 14, 2024
- Individual RAUM · $41.5M to $40.1MMar 1, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $7.9M to $8.0MMar 1, 2023 to Feb 14, 2024
- RAUM · $116M to $132MMar 1, 2023 to Feb 14, 2024
- Accounts · 383 to 378Feb 3, 2022 to Mar 1, 2023
- HNW clients · 42 to 38Feb 3, 2022 to Mar 1, 2023
- Individual clients · 108 to 113Feb 3, 2022 to Mar 1, 2023
- Assets in custody · $17.9M to $9.2MFeb 3, 2022 to Mar 1, 2023
- Discretionary RAUM · $117M to $108MFeb 3, 2022 to Mar 1, 2023
- HNW RAUM · $84.8M to $74.2MFeb 3, 2022 to Mar 1, 2023
- Individual RAUM · $40.4M to $41.5MFeb 3, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $11.5M to $7.9MFeb 3, 2022 to Mar 1, 2023
- RAUM · $129M to $116MFeb 3, 2022 to Mar 1, 2023
Signals
1 dated events
- R••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 3, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 636-405-0432reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 636-405-0432reportedpublic record, Form ADV, Jan 23, 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
- $163Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026