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••••• A•••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Jun 30, 2021 · 11 filings
SEC status approved since Jul 28, 2021
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$199M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
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
11 filings and snapshots on the tape
RAUM$202M as of Apr 1, 2026
Apr 1, 2022$131M then
HNW client RAUM$160M as of Apr 1, 2026
Apr 1, 2022$94.0M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Apr 1, 20221 then
Employees (5.A)3 as of Apr 1, 2026
Apr 1, 20222 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 8, 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
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $323,021derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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$160M80%
- Individuals$38.8M19%
- Charitable organizations$1.3M0.6%
- Pension and profit-sharing plans$1.1M0.6%
- Individual clients
- 161reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 624reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M• E••••Certified Financial Planner | Webster Groves, Mo | Feb 7, 2013 | 38 y | 1 |
| R••• M•••••• B•••••Certified Financial Planner | Webster Groves, Mo | Sep 8, 2026 | 10 y | 7 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• M•••••• B••••• from T•••••• W•••••Sep 8, 2026 · Other
- S•••••• M• E•••• from E•••••••• A•••••••• L••Feb 7, 2013 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• S••••••• M• · Managing Member / Chief Compliance Officercontrolsince 02/2013 · 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 |
|---|---|---|---|---|---|
| Webster Groves, Mo · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Apr 1, 2026 to Sep 8, 2026
- Employees · 3 to 4Apr 1, 2026 to Sep 8, 2026
- Financial planning clients · 51-100 to 51-100Apr 1, 2026 to Sep 8, 2026
- State-registered IARs · 1 to 2Apr 1, 2026 to Sep 8, 2026
- Related adviser · false to unsetApr 1, 2026 to Sep 8, 2026
- Related bank · false to unsetApr 1, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetApr 1, 2026 to Sep 8, 2026
- Related insurance company · false to unsetApr 1, 2026 to Sep 8, 2026
- Succession · false to unsetApr 1, 2026 to Sep 8, 2026
- Accounts · 608 to 624Dec 5, 2025 to Apr 1, 2026
- HNW clients · 55 to 73Dec 5, 2025 to Apr 1, 2026
- Individual clients · 155 to 161Dec 5, 2025 to Apr 1, 2026
- Assets in custody · 30805000.0 to unsetDec 5, 2025 to Apr 1, 2026
- Employees · 2 to 3Dec 5, 2025 to Apr 1, 2026
- Financial planning clients · 101-250 to 51-100Dec 5, 2025 to Apr 1, 2026
- Discretionary RAUM · $165M to $202MDec 5, 2025 to Apr 1, 2026
- HNW RAUM · $118M to $160MDec 5, 2025 to Apr 1, 2026
- Individual RAUM · $46.3M to $38.8MDec 5, 2025 to Apr 1, 2026
- Pension RAUM · $0 to $1.1MDec 5, 2025 to Apr 1, 2026
- RAUM · $165M to $202MDec 5, 2025 to Apr 1, 2026
- Accounts · 573 to 608Mar 31, 2024 to Mar 31, 2025
- Individual clients · 141 to 155Mar 31, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $154M to $165MMar 31, 2024 to Mar 31, 2025
- HNW RAUM · $107M to $118MMar 31, 2024 to Mar 31, 2025
- Individual RAUM · $46.7M to $46.3MMar 31, 2024 to Mar 31, 2025
- RAUM · $154M to $165MMar 31, 2024 to Mar 31, 2025
- Accounts · 576 to 573Mar 31, 2023 to Mar 31, 2024
- HNW clients · 94 to 55Mar 31, 2023 to Mar 31, 2024
- Individual clients · 123 to 141Mar 31, 2023 to Mar 31, 2024
- Assets in custody · unset to 30805000.0Mar 31, 2023 to Mar 31, 2024
- Financial planning clients · 51-100 to 101-250Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $123M to $154MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $86.0M to $107MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $36.8M to $46.7MMar 31, 2023 to Mar 31, 2024
- RAUM · $123M to $154MMar 31, 2023 to Mar 31, 2024
- Accounts · 539 to 576Jul 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $131M to $123MJul 28, 2022 to Mar 31, 2023
- HNW RAUM · $94.0M to $86.0MJul 28, 2022 to Mar 31, 2023
- Pension RAUM · unset to 0.0Jul 28, 2022 to Mar 31, 2023
Signals
1 dated events
- M••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 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.
How to reach
public business contact points only, each with its source
- Website
- M•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-961-1850reportedpublic record, Form ADV, Sep 8, 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026