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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Former SEC-registered adviser

S•••••••• I••••••••• M•••••••••

Former SEC-registered adviserSaint Louis, MissouriCRD 169988SEC 801-79217IAPD
Legal name S•••••••• I••••••••• M••••••••• I•••
Latest filing Apr 9, 2018
First filing on the tape Feb 10, 2014 · 25 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
300
190 advisory (5.B.1)
Offices
55
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.3B as of Nov 17, 2017
Nov 21, 2014$118M then
HNW client RAUM: $736M
State-registered IARs (5.B.3)300 as of Nov 17, 2017
Nov 21, 201433 then
Employees (5.A)300 as of Nov 17, 2017
Nov 21, 201433 then
Private funds: no history
RAUM +82% over the last fiscal year+169% a year over threeIARs 299 to 300
Practice profile
derived from the filing of Apr 9, 2018; every figure names its basis
RAUM per advisor
$7.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$181,728derivedHNW RAUM over HNW clients
Average account
$112,796derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.4derived56 offices incl. principal (1.F.5)
RAUM growth, one year
+82%derivedbetween the last two annual amendments
Advisor growth, one year
+0.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Wrap fee program
$2.3BreportedItem 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
  • 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.6B68%
  • High-net-worth individuals$736M32%
Individual clients
13,050reported
HNW clients
4,050reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
20,396reported
Financial planning clients
n/areported
Wrap fee programs
$2.3B sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• J••• · Chief Operating Officer, Presidentcontrol
    since 09/2017 · owns less than 5%
  • B••••• S••••••• J••• · Chief Financial Officercontrol
    since 09/2017 · owns less than 5%
  • D••••••• P••••• J•••• · Directorcontrol
    since 06/2016 · owns less than 5%
  • J••••• M••••••• T••••• · Vice Presidentcontrol
    since 09/2017 · owns less than 5%
  • K•••• D••••• R••••• · Chief Risk Officercontrol
    since 09/2017 · owns less than 5%
  • O••• G••••••• R•••••• · Secretarycontrol
    since 09/2017 · owns less than 5%
  • Y••••• W••••••• T••••• · Treasurercontrol
    since 09/2017 · owns less than 5%
  • Z•••••••• K••••• M••• · Chief Compliance Officercontrol
    since 10/2013 · owns less than 5%
Entity owners
  • T• A••••••••• H••••••• C•••• · Owner
    direct · owns 75% or more
  • T• A••••••••• H•••••• C••••••••• · Parent Corporation
    indirect · owns 75% or more of S•••••••• I••••••••• M••••••••• · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Plano, TX5 employees
  • Saint Louis, MO5 employees
  • Bloomington, MN4 employees
  • Westminster, CO4 employees
  • St. Louis, MO3 employees
What changed
consecutive filings, newest first
  • Accounts · 14,915 to 20,396
    Oct 23, 2017 to Nov 17, 2017
  • Advisory employees · 200 to 190
    Oct 23, 2017 to Nov 17, 2017
  • BD registered reps · 400 to 300
    Oct 23, 2017 to Nov 17, 2017
  • Charity clients · unset to 0.0
    Oct 23, 2017 to Nov 17, 2017
  • Corporate clients · unset to 0.0
    Oct 23, 2017 to Nov 17, 2017
  • HNW clients · unset to 4050.0
    Oct 23, 2017 to Nov 17, 2017
  • Individual clients · unset to 13050.0
    Oct 23, 2017 to Nov 17, 2017
  • Pension plan clients · unset to 0.0
    Oct 23, 2017 to Nov 17, 2017
  • Pooled vehicle clients · unset to 0.0
    Oct 23, 2017 to Nov 17, 2017
  • Employees · 400 to 300
    Oct 23, 2017 to Nov 17, 2017
  • State-registered IARs · 400 to 300
    Oct 23, 2017 to Nov 17, 2017
  • Discretionary RAUM · $1.9B to $2.3B
    Oct 23, 2017 to Nov 17, 2017
  • HNW RAUM · unset to 736000000.0
    Oct 23, 2017 to Nov 17, 2017
  • Individual RAUM · unset to 1564595492.0
    Oct 23, 2017 to Nov 17, 2017
  • RAUM · $1.9B to $2.3B
    Oct 23, 2017 to Nov 17, 2017
  • Wrap assets (sponsor) · $2.3B to $2.3B
    Oct 23, 2017 to Nov 17, 2017
  • Other offices · unset to 55.0
    Sep 22, 2017 to Oct 17, 2017
  • Wrap assets (manager) · unset to 0.0
    Sep 22, 2017 to Oct 17, 2017
  • Wrap assets (sponsor) · unset to 2337213619.0
    Sep 22, 2017 to Oct 17, 2017
  • Related adviser · false to true
    Jun 15, 2017 to Sep 22, 2017
  • Accounts · 12,051 to 14,915
    Nov 17, 2016 to May 9, 2017
  • Advisory employees · 95 to 200
    Nov 17, 2016 to May 9, 2017
  • BD registered reps · 299 to 400
    Nov 17, 2016 to May 9, 2017
  • Employees · 299 to 400
    Nov 17, 2016 to May 9, 2017
  • State-registered IARs · 299 to 400
    Nov 17, 2016 to May 9, 2017
  • Discretionary RAUM · $1.3B to $1.9B
    Nov 17, 2016 to May 9, 2017
  • RAUM · $1.3B to $1.9B
    Nov 17, 2016 to May 9, 2017
  • Advisory employees · 105 to 95
    Oct 3, 2016 to Nov 17, 2016
  • BD registered reps · 306 to 299
    Oct 3, 2016 to Nov 17, 2016
  • Employees · 306 to 299
    Oct 3, 2016 to Nov 17, 2016
  • State-registered IARs · 306 to 299
    Oct 3, 2016 to Nov 17, 2016
  • Accounts · 6,294 to 12,051
    Sep 9, 2016 to Oct 3, 2016
  • Advisory employees · 24 to 105
    Sep 9, 2016 to Oct 3, 2016
  • BD registered reps · 46 to 306
    Sep 9, 2016 to Oct 3, 2016
  • Employees · 46 to 306
    Sep 9, 2016 to Oct 3, 2016
  • State-registered IARs · 46 to 306
    Sep 9, 2016 to Oct 3, 2016
  • Discretionary RAUM · $584M to $1.3B
    Sep 9, 2016 to Oct 3, 2016
  • RAUM · $584M to $1.3B
    Sep 9, 2016 to Oct 3, 2016
  • Accounts · 1,233 to 6,294
    Jul 7, 2015 to Nov 16, 2015
  • Advisory employees · 25 to 24
    Jul 7, 2015 to Nov 16, 2015
Signals
1 dated events
  • S•••••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Feb 10, 2014 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026