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
B••••••••• A•••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 4, 2013 · 28 filings
SEC status approved since Nov 9, 2016
RAUM
$351M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$342M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$351M as of Mar 20, 2026
Feb 6, 2017$120M then
HNW client RAUM$294M as of Mar 20, 2026
Feb 14, 2018$93.6M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Feb 6, 20175 then
Employees (5.A)6 as of Mar 20, 2026
Feb 6, 20177 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 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
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $320,991derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $660MreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M84%
- Individuals$48.0M14%
- Charitable organizations$3.8M1.1%
- Corporations and businesses$2.7M0.8%
- Pension and profit-sharing plans$2.2M0.6%
- Individual clients
- 231reported
- HNW clients
- 165reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,092reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $330M sponsored, $330M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• L••• R•••Chartered Financial Consultant | Chesterfield, Mo | Jan 23, 2014 | 32 y | 0 |
| R••••• F•••••• B••••• | Chesterfield, Mo | Jan 23, 2014 | 32 y | 1 |
| C••••••••• L•••• W•••••••••Certified Financial Planner | Chesterfield, Mo | Mar 12, 2014 | 28 y | 0 |
| J••••• P•••••• G•••••••Certified Financial Planner | Ballwin, Mo | Dec 7, 2016 | 34 y | 1 |
| M•••• A•• V•••••••• | Chesterfield, Mo | Dec 7, 2016 | 32 y | 2 |
| A••••• R••••• B••••• | Chesterfield, Mo | Jul 13, 2026 | 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••••• P•••••• G••••••• from U•• F•••••••• S••••••• I•••Dec 7, 2016 · Other
- M•••• A•• V•••••••• from M••••• W•••• I••Dec 7, 2016 · Other
- R••••• F•••••• B••••• from W• G••••••• S••••••••• I•••Jan 23, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• F•••••• · Managing Member And Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- R•••• T•••••• L••• · Managing Membercontrolsince 01/2013 · owns less than 5%
- B•••••• R•••••• F•••••• · Membercontrolsince 07/2022 · owns 50% to 75% of B••••••••• L••••• P•••••••• L••
- R•••• T•••••• L••• · Membercontrolsince 07/2022 · owns 50% to 75% of B••••••••• L••••• P•••••••• L••
Entity owners
- B••••••••• H•••••• L•• · Memberdirect · owns 75% or more
- B••••••••• L••••• P•••••••• L•• · Memberindirect · owns 75% or more of B••••••••• H•••••• L••
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 |
|---|---|---|---|---|---|
| Chesterfield, Mo · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,165 to 1,092Jan 6, 2026 to Mar 20, 2026
- HNW clients · 144 to 165Jan 6, 2026 to Mar 20, 2026
- Individual clients · 254 to 231Jan 6, 2026 to Mar 20, 2026
- Discretionary RAUM · $298M to $350MJan 6, 2026 to Mar 20, 2026
- HNW RAUM · $242M to $294MJan 6, 2026 to Mar 20, 2026
- Individual RAUM · $48.6M to $48.0MJan 6, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $348,893 to $278,208Jan 6, 2026 to Mar 20, 2026
- Pension RAUM · $1.9M to $2.2MJan 6, 2026 to Mar 20, 2026
- RAUM · $298M to $351MJan 6, 2026 to Mar 20, 2026
- Wrap assets (manager) · $298M to $330MJan 6, 2026 to Mar 20, 2026
- Wrap assets (sponsor) · $298M to $330MJan 6, 2026 to Mar 20, 2026
- Related broker-dealer · true to falseMar 11, 2025 to Jan 6, 2026
- Accounts · 1,161 to 1,165Feb 20, 2024 to Mar 11, 2025
- Corporate clients · 4.0 to unsetFeb 20, 2024 to Mar 11, 2025
- HNW clients · 127 to 144Feb 20, 2024 to Mar 11, 2025
- Individual clients · 260 to 254Feb 20, 2024 to Mar 11, 2025
- Pension plan clients · 3.0 to unsetFeb 20, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Feb 20, 2024 to Mar 11, 2025
- Discretionary RAUM · $254M to $298MFeb 20, 2024 to Mar 11, 2025
- HNW RAUM · $201M to $242MFeb 20, 2024 to Mar 11, 2025
- Individual RAUM · $58.2M to $48.6MFeb 20, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $12.3M to $348,893Feb 20, 2024 to Mar 11, 2025
- Pension RAUM · $1.7M to $1.9MFeb 20, 2024 to Mar 11, 2025
- RAUM · $267M to $298MFeb 20, 2024 to Mar 11, 2025
- Wrap assets (manager) · $254M to $298MFeb 20, 2024 to Mar 11, 2025
- Wrap assets (sponsor) · $254M to $298MFeb 20, 2024 to Mar 11, 2025
- Accounts · 1,117 to 1,161Oct 9, 2023 to Feb 20, 2024
- Corporate clients · 1 to 4Oct 9, 2023 to Feb 20, 2024
- HNW clients · 134 to 127Oct 9, 2023 to Feb 20, 2024
- Individual clients · 278 to 260Oct 9, 2023 to Feb 20, 2024
- Employees · 7 to 6Oct 9, 2023 to Feb 20, 2024
- Financial planning clients · 1-10 to 0Oct 9, 2023 to Feb 20, 2024
- Discretionary RAUM · $231M to $254MOct 9, 2023 to Feb 20, 2024
- HNW RAUM · $184M to $201MOct 9, 2023 to Feb 20, 2024
- Individual RAUM · $54.0M to $58.2MOct 9, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $11.2M to $12.3MOct 9, 2023 to Feb 20, 2024
- Pension RAUM · $1.4M to $1.7MOct 9, 2023 to Feb 20, 2024
- RAUM · $243M to $267MOct 9, 2023 to Feb 20, 2024
- Wrap assets (manager) · $223M to $254MOct 9, 2023 to Feb 20, 2024
- Wrap assets (sponsor) · $223M to $254MOct 9, 2023 to Feb 20, 2024
Signals
1 dated events
- B••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 14, 2016 · 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 email
- d•••••@b•••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- l•••••••••@b•••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 618-210-4775reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 636-256-2440reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 636-532-6644reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.b•••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 636-536-9936reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- b•••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- b•••.netreportedpublished by the firm, firm site, Sep 16, 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026