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
S•••••• I••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 6, 2020 · 17 filings
SEC status approved since Mar 9, 2020
RAUM
$142M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$140M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$20.3M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$142M as of Mar 12, 2026
Mar 23, 2021$112M then
HNW client RAUM$83.6M as of Mar 12, 2026
Mar 23, 2021$34.8M then
State-registered IARs (5.B.3)6 as of Mar 12, 2026
Mar 23, 20215 then
Employees (5.A)8 as of Mar 12, 2026
Mar 23, 20215 then
Private funds: no history
RAUM +11% over the last fiscal year+14% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 12, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $20.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $251,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- $114MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.6M59%
- Individuals$56.1M40%
- Pension and profit-sharing plans$1.5M1.1%
- Other investment advisers$626,0000.4%
- Individual clients
- 181reported
- HNW clients
- 52reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 564reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• J•• S•••••• | St. Louis, Mo | Aug 20, 2013 | 32 y | 3 |
| J••• M•••••• M••••Chartered Financial Consultant | St. Louis, Mo | Jan 15, 2016 | 42 y | 2 |
| T••• S•••••• B••••• | St. Louis, Mo | Aug 3, 2020 | 10 y | 1 |
| E•••• C• F••••• | Post Falls, Id | Oct 6, 2022 | 13 y | 1 |
| J••••• L•• R••• | St. Louis, Mo | Oct 14, 2024 | 12 y | 0 |
| C••••••••• J••• K••••• | Clearwater, Fl | Aug 18, 2026 | 10 y | 0 |
| B••••• D•••••• | Clearwater, Fl | Sep 10, 2026 | 11 y | 1 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 43% of current headcount8 left over 36 months
Left, latest
- J••••• W• H••• to T••••••••• F•••••••• A•••••••• L••Jul 20, 2026 · RIA to affiliated broker-dealer or bank
- K•••• W•••••• to M••••• S••••••Mar 6, 2026 · RIA to wirehouse
- A••••••• W•••••• to M••••• S••••••Mar 6, 2026 · RIA to wirehouse
- J••• K•••• M••••• to F•••• P••••••• W•••••• L••May 28, 2025 · RIA to RIA
- K••••• M•••••• E••• to U•••• F•••••••• A•••••••May 8, 2025 · RIA to RIA
- E•••• B•••• to M••••• G•••• I••••••••• A•••••••• L••Mar 21, 2025 · RIA to RIA
- A•••••• C••••• to C•••••• S••••• • C••• I•••Aug 19, 2024 · RIA to affiliated broker-dealer or bank
- S•••••• H••••• to A••••••• F•••••••• A•••••••• L••Apr 29, 2024 · RIA to affiliated broker-dealer or bank
- J•••••• S•••• M••••• to E•••••• F•••••••• E••••••Jun 13, 2022 · RIA to RIA
- T••••• J••• C•••••• to A••••••••• I•••Apr 19, 2022 · RIA to affiliated broker-dealer or bank
- A••••• J• S•••••••• to B••••••••• S•••••••• W•••••• L••Apr 19, 2022 · RIA to RIA
- P••• A• A•••••• to L•• F•••••••• L••Apr 4, 2022 · RIA to RIA
- J••••• R••••• J•••••• to S•••••••• F••••••••• I•••Feb 4, 2022 · RIA to affiliated broker-dealer or bank
- C••••• S•••• S••••••••• to G•••• C•••••••••Mar 31, 2021 · RIA to RIA
- D•••• A••••• S•••• to A••••••• C•••••• S••••••••• L••Mar 9, 2021 · RIA to RIA
Joined, latest
- B••••• D•••••• from E•••••• F•••••••• P••••••• A•• W••••• M•••••••••Sep 10, 2026 · RIA to RIA
- J••••• W• H••• from F••••• I•••••••••Mar 23, 2026 · RIA to RIA
- K•••• W•••••• from M•• I•••••••• S•••••••• L••Jul 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••••• W•••••• from F•••• P••••••• W•••••• L••Jun 9, 2025 · RIA to RIA
- A•••••• C••••• from R• I••••••••• S••••••••• L••Jun 6, 2024 · RIA to RIA
- K••••• M•••••• E••• from F•••••• F•••••••• A•••••••• L••Jan 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••• H••••• from T• P•••••• C••••• W••••• L••Dec 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- E•••• C• F••••• from E••••• J••••Oct 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••••• S•••• M••••• from I••••••••• P••••••••• L••May 11, 2022 · Other
- P••• A• A•••••• from I•• W••••• M••••••••• L••Feb 14, 2022 · RIA to RIA
- T••••• J••• C•••••• from S•••••• N••••••• • C••••••• I•••••••••Jan 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• R••••• J•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 22, 2021 · Wirehouse to independent RIA
- C••••• S•••• S••••••••• from W•••• F•••• A•••••••Mar 10, 2020 · Wirehouse to independent RIA
- M••• A••••• Y•••• from E••••• W•••••• L••Dec 10, 2018 · RIA to RIA
- R••••• M••••• from E••••• J••••Aug 2, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••• S•••••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- S••••••• J••••••• J•• · President, Chief Executive Officercontrolsince 03/2013 · 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 |
|---|---|---|---|---|---|
| St Louis, Mo | 4 | 0 | 1 | ||
| Clearwater, Fl | 3 | 2 | 1 | ||
| Saint Louis, Mo | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Clearwater, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 561 to 564Mar 11, 2025 to Mar 12, 2026
- Advisory employees · 6 to 5Mar 11, 2025 to Mar 12, 2026
- HNW clients · 48 to 52Mar 11, 2025 to Mar 12, 2026
- Individual clients · 188 to 181Mar 11, 2025 to Mar 12, 2026
- Pension plan clients · unset to 1.0Mar 11, 2025 to Mar 12, 2026
- Financial planning clients · 11-25 to 26-50Mar 11, 2025 to Mar 12, 2026
- State-registered IARs · 7 to 6Mar 11, 2025 to Mar 12, 2026
- Discretionary RAUM · $117M to $125MMar 11, 2025 to Mar 12, 2026
- HNW RAUM · $71.9M to $83.6MMar 11, 2025 to Mar 12, 2026
- Individual RAUM · $55.2M to $56.1MMar 11, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $10.9M to $16.4MMar 11, 2025 to Mar 12, 2026
- Pension RAUM · unset to 1500000.0Mar 11, 2025 to Mar 12, 2026
- RAUM · $128M to $142MMar 11, 2025 to Mar 12, 2026
- Accounts · 529 to 561Jan 31, 2025 to Mar 11, 2025
- HNW clients · 31 to 48Jan 31, 2025 to Mar 11, 2025
- Individual clients · 193 to 188Jan 31, 2025 to Mar 11, 2025
- Financial planning clients · 1-10 to 11-25Jan 31, 2025 to Mar 11, 2025
- Discretionary RAUM · $103M to $117MJan 31, 2025 to Mar 11, 2025
- HNW RAUM · $50.0M to $71.9MJan 31, 2025 to Mar 11, 2025
- Individual RAUM · $56.6M to $55.2MJan 31, 2025 to Mar 11, 2025
- Non-discretionary RAUM · $10.0M to $10.9MJan 31, 2025 to Mar 11, 2025
- RAUM · $113M to $128MJan 31, 2025 to Mar 11, 2025
- Accounts · 505 to 529Oct 10, 2023 to Mar 1, 2024
- Advisory employees · 4 to 6Oct 10, 2023 to Mar 1, 2024
- BD registered reps · 1 to 0Oct 10, 2023 to Mar 1, 2024
- HNW clients · 29 to 31Oct 10, 2023 to Mar 1, 2024
- Individual clients · 210 to 193Oct 10, 2023 to Mar 1, 2024
- Assets in custody · 2317295.0 to unsetOct 10, 2023 to Mar 1, 2024
- Custody of client assets · true to falseOct 10, 2023 to Mar 1, 2024
- Employees · 6 to 8Oct 10, 2023 to Mar 1, 2024
- Financial planning clients · 0 to 1-10Oct 10, 2023 to Mar 1, 2024
- State-registered IARs · 5 to 7Oct 10, 2023 to Mar 1, 2024
- Discretionary RAUM · $99.1M to $103MOct 10, 2023 to Mar 1, 2024
- HNW RAUM · $39.3M to $50.0MOct 10, 2023 to Mar 1, 2024
- Individual RAUM · $56.2M to $56.6MOct 10, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $0 to $10.0MOct 10, 2023 to Mar 1, 2024
- RAUM · $99.1M to $113MOct 10, 2023 to Mar 1, 2024
- Accounts · 488 to 505Oct 2, 2023 to Oct 10, 2023
- HNW clients · 30 to 29Oct 2, 2023 to Oct 10, 2023
- Individual clients · 209 to 210Oct 2, 2023 to Oct 10, 2023
Signals
14 dated events
- K•••• W•••••• left S•••••• I••••••••• L•• for M••••• S•••••• (registered 2026-07-06)Mar 6, 2026 · a•••••• firm change · fact
- A••••••• W•••••• left S•••••• I••••••••• L•• for M••••• S•••••• (registered 2026-04-09)Mar 6, 2026 · a•••••• firm change · fact
- J••• K•••• M••••• left S•••••• I••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-09-18)May 28, 2025 · a•••••• firm change · fact
- K••••• M•••••• E••• left S•••••• I••••••••• L•• for U•••• F•••••••• A••••••• (registered 2025-05-05)May 8, 2025 · a•••••• firm change · fact
- E•••• B•••• left S•••••• I••••••••• L•• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-07-18)Mar 21, 2025 · a•••••• firm change · fact
- A•••••• C••••• left S•••••• I••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-03-17)Aug 19, 2024 · a•••••• firm change · fact
- S•••••• H••••• left S•••••• I••••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2024-12-02)Apr 29, 2024 · a•••••• firm change · fact
- Severin Tess Butler (Chief Compliance Officer) appeared on Schedule A of S•••••• I••••••••• L••Oct 4, 2022 · Control person joined · fact
- J•••••• S•••• M••••• left S•••••• I••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-09-19)Jun 13, 2022 · a•••••• firm change · fact
- A••••• J• S•••••••• left S•••••• I••••••••• L•• for B••••••••• S•••••••• W•••••• L•• (registered 2022-08-12)Apr 19, 2022 · a•••••• firm change · fact
- T••••• J••• C•••••• left S•••••• I••••••••• L•• for A••••••••• I••• (registered 2022-06-21)Apr 19, 2022 · a•••••• firm change · fact
- P••• A• A•••••• left S•••••• I••••••••• L•• for L•• F•••••••• L•• (registered 2022-06-06)Apr 4, 2022 · a•••••• firm change · fact
- J••••• R••••• J•••••• left S•••••• I••••••••• L•• for S•••••••• F••••••••• I••• (registered 2022-07-12)Feb 4, 2022 · a•••••• firm change · fact
- S•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Feb 6, 2020 · 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
- 866-983-2707reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- SeverinAssetManagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-983-2707reportedpublic record, Form ADV, Mar 12, 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
- $20.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026