DFX Intelligence
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SEC-registered adviser
M••••• F•••••••• P•••••••• L••
Legal name J•• M••••• F•••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 3, 2025 · 2 filings
SEC status approved since Apr 7, 2025
RAUM
$176M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
86%
$151M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.0M
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
2 filings and snapshots on the tape
RAUM$176M as of Mar 27, 2026
Apr 3, 2025$140M then
HNW client RAUM$133M as of Mar 27, 2026
Apr 3, 2025$109M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Apr 3, 20252 then
Employees (5.A)2 as of Mar 27, 2026
Apr 3, 20252 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- $88.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $458,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 14%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
- +26%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $94.1M, 46 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$133M75%
- Charitable organizations$25.0M14%
- Individuals$18.5M11%
- Individual clients
- 33reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 384reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $94.1M for 46 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 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 |
|---|---|---|---|---|
| J•••• L•••• M•••••Certified Financial Planner | Springfield, Mo | Dec 16, 2013 | 25 y | 1 |
| N••••• G•••••• | Springfield, Mo | Aug 6, 2024 | 10 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
- J•••• L•••• M••••• from V••••••• A•••••••• I•••Dec 16, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• L•••• · Managing Member/Cco Managercontrolsince 10/2013 · 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 |
|---|---|---|---|---|---|
| Springfield, Mo · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-03, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 313 to 384Apr 3, 2025 to Mar 27, 2026
- Charity clients · 2 to 3Apr 3, 2025 to Mar 27, 2026
- HNW clients · 31 to 35Apr 3, 2025 to Mar 27, 2026
- Individual clients · 30 to 33Apr 3, 2025 to Mar 27, 2026
- Assets in custody · unset to 94071000.0Apr 3, 2025 to Mar 27, 2026
- Custody of client assets · false to trueApr 3, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 26-50Apr 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $129M to $164MApr 3, 2025 to Mar 27, 2026
- HNW RAUM · $109M to $133MApr 3, 2025 to Mar 27, 2026
- Individual RAUM · $17.2M to $18.5MApr 3, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $10.9M to $11.6MApr 3, 2025 to Mar 27, 2026
- RAUM · $140M to $176MApr 3, 2025 to Mar 27, 2026
Signals
No event on the tape.
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•••••FINANCIALP•••••••.COMreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- 417-268-9191reportedpublic record, Form ADV, Mar 27, 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
- $88.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026