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.
SEC-registered adviser
Archford Capital Strategies, LLC
Latest filing Apr 30, 2026
First filing on the tape Jun 22, 2012 · 60 filings
SEC status approved since Jun 28, 2012
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$1.2B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$93.1M
derived; firm RAUM over IAPD count
Employees
45
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$1.5B as of Apr 30, 2026
Mar 31, 2014$278M then
HNW client RAUM$1.0B as of Apr 30, 2026
Mar 19, 2018$375M then
State-registered IARs (5.B.3)15 as of Apr 30, 2026
Mar 18, 20130 then
Employees (5.A)45 as of Apr 30, 2026
Mar 18, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+22% a year over threeIARs 8 to 15
Practice profile
derived from the filing of Apr 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $93.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $362,052derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +88%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $316M, 1,209 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B68%
- Pension and profit-sharing plans$206M14%
- Individuals$183M12%
- Corporations and businesses$67.4M4.5%
- Charitable organizations$21.4M1.4%
- Individual clients
- 496reported
- HNW clients
- 278reported
- Pension plan clients
- 67reported
- Charitable clients
- 6reported
- Accounts
- 4,113reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $316M for 1,209 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Donald MaherCertified Financial Planner | Swansea, Il | Mar 28, 2013 | 29 y | 1 |
| Robert Gary Schlueter | Swansea, Il | Apr 2, 2013 | 25 y | 1 |
| Samuel HangerCertified Financial Planner, Chartered Financial Consultant | Swansea, Il | Jun 22, 2015 | 11 y | 0 |
| Jacob Jung Hong | Swansea, Il | Jul 1, 2015 | 12 y | 0 |
| Marnie Elizabeth Deschaine Venneman | Swansea, Il | Aug 18, 2015 | 31 y | 1 |
| Laura Monette Williams-Lawrence | Swansea, Il | Oct 17, 2016 | 14 y | 0 |
| Paul Richard AlegnaniChartered Financial Analyst | Swansea, Il | Aug 31, 2018 | 31 y | 0 |
| David Andrew Stoll | Clayton, Mo | May 19, 2021 | 11 y | 1 |
| Ryan Adam Haynes | Swansea, Il | Feb 27, 2025 | 11 y | 0 |
| John Joseph Perry | Swansea, Il | Apr 22, 2025 | 11 y | 0 |
| Joseph Charles Schmidt | Swansea, Il | May 12, 2025 | 11 y | 0 |
| Daniel Patrick O'Rourke | Livingston, Nj | Jun 19, 2025 | 10 y | 0 |
| Isaac Timothy Young | Swansea, Il | Dec 12, 2025 | 12 y | 0 |
| Dustin Robert Mercer | Swansea, Il | Jan 16, 2026 | 10 y | 0 |
| Colby Simon Sherman | St. Louis, Mo | Apr 13, 2026 | 13 y | 4 |
| Derringer HuffCertified Financial Planner | Swansea, Il | Jul 7, 2026 | 16 y | 1 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount4 left over 36 months
Left, latest
- Joseph Franklin Maher to Valmark Advisers, Inc.Aug 19, 2026 · RIA to affiliated broker-dealer or bank
- Edwin Keiser to J.P. Morgan Securities LLCDec 5, 2025 · RIA to wirehouse
- Lauren Nicole Randazzo to Stifel, Nicolaus & Company, IncorporatedOct 24, 2024 · RIA to affiliated broker-dealer or bank
- Deanna Loesche to Wells Fargo AdvisorsMar 26, 2024 · RIA to wirehouse
- Deborah Marie Sante to &PartnersOct 21, 2022 · RIA to RIA
- Zachary John Joiner to Meredith Wealth PlanningFeb 9, 2021 · RIA to RIA
- William Patrick Davis to Private Advisor Group, LLCNov 19, 2020 · RIA to affiliated broker-dealer or bank
- Ashlee Nicole Ogrzewalla to Pentegra Investors, Inc.Aug 14, 2019 · Other
- Craig Allen Toberman to Toberman Becker Wealth, LLCDec 31, 2018 · RIA to RIA
- John Roland Russo to Rubinbrown Advisors LLCMay 23, 2018 · Other
- Jerry Lee West to Moneta Group Investment Advisors, LLCMay 23, 2018 · RIA to RIA
- Chad Allen Stafko to Associated Investment Services, Inc.Aug 16, 2017 · Other
- Joshua Elliot Anderson to Edward JonesApr 29, 2016 · Other
Joined, latest
- Derringer Huff from Charles Schwab & Co., Inc.Jul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Colby Simon Sherman from Strategic Advisers LLCApr 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Edwin Keiser from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 1, 2025 · Wirehouse to independent RIA
- Lauren Nicole Randazzo from Moneta Group Investment Advisors, LLCJul 19, 2021 · RIA to RIA
- David Andrew Stoll from Severin Investments LLCMay 19, 2021 · RIA to RIA
- Deborah Marie Sante from Benjamin F. Edwards & Company, IncorporatedFeb 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- Deanna Loesche from Morgan Keegan & Company, LLCJan 10, 2020 · Other
- Zachary John Joiner from Cambridge Capital Management, LLCDec 20, 2019 · RIA to RIA
- Ashlee Nicole Ogrzewalla from Filtered FinanceJun 1, 2018 · Other
- Craig Allen Toberman from Foundation Wealth Management, LLCJul 26, 2016 · Other
- Chad Allen Stafko from Union Planters Investment Advisors, Inc.Jan 29, 2016 · Other
- William Patrick Davis from Deschaine & Company, L.L.C.Aug 26, 2015 · Other
- Marnie Elizabeth Deschaine Venneman from Deschaine & Company, L.L.C.Aug 18, 2015 · Other
- Joshua Elliot Anderson from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Robert Gary Schlueter from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Deschaine & Company, L.L.C.Nov 6, 2015 · Belleville, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Paul Alegnani · Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- Charles Brueggemann · Executive Officercontrolsince 01/2024 · owns less than 5%
- Russell Andrew Greene · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- Jung Jacob Hong · Chief Wealth Management Officercontrolsince 05/2018 · owns less than 5%
- Daniel Jeffrey Keiser · Chief Legal Officercontrolsince 01/2024 · owns less than 5%
- Donald James Maher · Chief Executive Officercontrolsince 03/2013 · owns less than 5%
- Simon Colby Sherman · Chief Wealth Management Officercontrolsince 04/2026 · owns less than 5%
- Kay Amanda White · Chief Compliance Officer/Chief Financial Officercontrolsince 05/2018 · owns less than 5%
- Donald James Maher · Trusteecontrolsince 01/2023 · owns F of Maher, James, Donald
Entity owners
- James D Maher, Trustee Of The Jennifer M. Maher Family Trust · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Archford Accounting, LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Swansea, Il · principal | 16 | 4 | 2 | ||
| Clayton, Mo | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edwardsville, IL
- St. Louis, MO
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Apr 30, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 15.0 (+88.0%) between the annual amendments of 2025-02-14 and 2026-04-30; the peer median change was 0.0% (999 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 99% percentile
- control person changedChange between filings · filing Apr 30, 2026SHERMAN, COLBY, SIMON (CHIEF WEALTH MANAGEMENT OFFICER) appeared on Schedule A between the filings of 2024-03-13 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 30, 2026GREENE, ANDREW, RUSSELL (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-13 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 30, 2026HONG, JACOB, JUNG (CHIEF WEALTH MANAGEMENT OFFICER) left Schedule A between the filings of 2024-03-13 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,921 to 4,113Dec 5, 2025 to Mar 13, 2026
- Advisory employees · 8 to 16Dec 5, 2025 to Mar 13, 2026
- Advisory activities · 6 to 7Dec 5, 2025 to Mar 13, 2026
- Charity clients · 7 to 6Dec 5, 2025 to Mar 13, 2026
- Corporate clients · 14 to 13Dec 5, 2025 to Mar 13, 2026
- HNW clients · 254 to 278Dec 5, 2025 to Mar 13, 2026
- Individual clients · 476 to 496Dec 5, 2025 to Mar 13, 2026
- Assets in custody · $286M to $316MDec 5, 2025 to Mar 13, 2026
- Employees · 42 to 45Dec 5, 2025 to Mar 13, 2026
- State-registered IARs · 8 to 15Dec 5, 2025 to Mar 13, 2026
- Other offices · 3 to 2Dec 5, 2025 to Mar 13, 2026
- Discretionary RAUM · $1.3B to $1.5BDec 5, 2025 to Mar 13, 2026
- HNW RAUM · $853M to $1.0BDec 5, 2025 to Mar 13, 2026
- Individual RAUM · $173M to $183MDec 5, 2025 to Mar 13, 2026
- Pension RAUM · $174M to $206MDec 5, 2025 to Mar 13, 2026
- RAUM · $1.3B to $1.5BDec 5, 2025 to Mar 13, 2026
- Financial planning clients · More than 500 to More than 500Jun 17, 2025 to Jul 2, 2025
- Other offices · 2 to 3Jun 17, 2025 to Jul 2, 2025
- Accounts · 3,478 to 3,921Mar 13, 2024 to Feb 14, 2025
- Advisory employees · 10 to 8Mar 13, 2024 to Feb 14, 2025
- BD registered reps · 4 to 1Mar 13, 2024 to Feb 14, 2025
- Corporate clients · 11 to 14Mar 13, 2024 to Feb 14, 2025
- HNW clients · 233 to 254Mar 13, 2024 to Feb 14, 2025
- Individual clients · 407 to 476Mar 13, 2024 to Feb 14, 2025
- Pension plan clients · 62 to 67Mar 13, 2024 to Feb 14, 2025
- Assets in custody · $251M to $286MMar 13, 2024 to Feb 14, 2025
- Employees · 41 to 42Mar 13, 2024 to Feb 14, 2025
- State-registered IARs · 9 to 8Mar 13, 2024 to Feb 14, 2025
- Discretionary RAUM · $972M to $1.3BMar 13, 2024 to Feb 14, 2025
- HNW RAUM · $639M to $853MMar 13, 2024 to Feb 14, 2025
- Individual RAUM · $120M to $173MMar 13, 2024 to Feb 14, 2025
- Pension RAUM · $152M to $174MMar 13, 2024 to Feb 14, 2025
- RAUM · $972M to $1.3BMar 13, 2024 to Feb 14, 2025
- Accounts · 2,726 to 3,478Jun 29, 2023 to Mar 13, 2024
- Advisory employees · 13 to 10Jun 29, 2023 to Mar 13, 2024
- Advisory activities · 5 to 6Jun 29, 2023 to Mar 13, 2024
- BD registered reps · 5 to 4Jun 29, 2023 to Mar 13, 2024
- Corporate clients · 10 to 11Jun 29, 2023 to Mar 13, 2024
- HNW clients · 198 to 233Jun 29, 2023 to Mar 13, 2024
- Individual clients · 388 to 407Jun 29, 2023 to Mar 13, 2024
Signals
13 dated events
- Joseph Franklin Maher left Archford Capital Strategies, Llc for Valmark Advisers, Inc. (registered 2026-09-01)Aug 19, 2026 · Advisor changed firm · fact
- Edwin Keiser left Archford Capital Strategies, Llc for J.P. Morgan Securities Llc (registered 2026-01-12)Dec 5, 2025 · Advisor changed firm · fact
- Archford Capital Strategies, Llc reported RAUM $1.3B, up 32% from $971.5M (2024-03-13 to 2025-02-14)Feb 14, 2025 · RAUM change · derived
- Lauren Nicole Randazzo left Archford Capital Strategies, Llc for Stifel, Nicolaus & Company, Incorporated (registered 2024-10-29)Oct 24, 2024 · Advisor changed firm · fact
- Deanna Loesche left Archford Capital Strategies, Llc for Wells Fargo Advisors (registered 2024-12-09)Mar 26, 2024 · Advisor changed firm · fact
- Charles Brueggemann (Executive Officer) appeared on Schedule A of Archford Capital Strategies, LlcMar 13, 2024 · Control person joined · fact
- Russell Andrew Greene (Chief Operating Officer) appeared on Schedule A of Archford Capital Strategies, LlcMar 13, 2024 · Control person joined · fact
- Daniel Jeffrey Keiser (Chief Legal Officer) appeared on Schedule A of Archford Capital Strategies, LlcMar 13, 2024 · Control person joined · fact
- Marie Jennifer Maher (Member) no longer on Schedule A of Archford Capital Strategies, Llc (listed 2022-07-08, absent 2023-01-31)Jan 31, 2023 · Control person left · inference
- Deborah Marie Sante left Archford Capital Strategies, Llc for &Partners (registered 2024-09-17)Oct 21, 2022 · Advisor changed firm · fact
- Marie Jennifer Maher (Member) appeared on Schedule A of Archford Capital Strategies, LlcMar 28, 2022 · Control person joined · fact
- Archford Capital Strategies, Llc reported RAUM $695.1M, up 27% from $549.2M (2017-09-14 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
- April Wealth Endeavor, Llc filed its initial SEC registration (Form ADV)Jun 22, 2012 · 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
- 314-696-1162reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 618-416-7085reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-414-2309reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/archford-capital-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- archfordcapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 618-416-7085reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- archfordcapital.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- archfordcapital.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $93.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026