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

A••••• P••••• W••••• M•••••••••

Former SEC-registered adviserCape Girardeau, MissouriCRD 226643SEC 801-127972websiteIAPD
Latest filing Aug 1, 2024
First filing on the tape Apr 13, 2023 · 4 filings
SEC status approved since May 12, 2023
RAUM
$112M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$112M as of Aug 1, 2024
Apr 13, 2023$100M then
HNW client RAUM$81.0M as of Aug 1, 2024
Apr 13, 2023$61.5M then
State-registered IARs (5.B.3)2 as of Aug 1, 2024
Apr 13, 20232 then
Employees (5.A)2 as of Aug 1, 2024
Apr 13, 20232 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 1, 2024; every figure names its basis
RAUM per advisor
$56.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$138,315derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$5.8M, 13 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$81.0M72%
  • Individuals$30.4M27%
  • Charitable organizations$1.1M1.0%
Individual clients
93reported
HNW clients
39reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
813reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$5.8M for 13 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• J••• D•••••• · Managing Member/Chief Compliance Officercontrol
    since 04/2015 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Cape Girardeau, Mo · principal000
Highland Park, Il000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • HQ city · JACKSON to CAPE GIRARDEAU
    Mar 5, 2024 to Aug 1, 2024
  • Accounts · 533 to 813
    Oct 4, 2023 to Mar 5, 2024
  • Charity clients · 3 to 1
    Oct 4, 2023 to Mar 5, 2024
  • HNW clients · 27 to 39
    Oct 4, 2023 to Mar 5, 2024
  • Individual clients · 154 to 93
    Oct 4, 2023 to Mar 5, 2024
  • Assets in custody · $2.3M to $5.8M
    Oct 4, 2023 to Mar 5, 2024
  • Discretionary RAUM · $99.5M to $112M
    Oct 4, 2023 to Mar 5, 2024
  • HNW RAUM · $61.5M to $81.0M
    Oct 4, 2023 to Mar 5, 2024
  • Individual RAUM · $37.5M to $30.4M
    Oct 4, 2023 to Mar 5, 2024
  • Non-discretionary RAUM · $523,705 to $641,075
    Oct 4, 2023 to Mar 5, 2024
  • RAUM · $100M to $112M
    Oct 4, 2023 to Mar 5, 2024
Signals
4 dated events
  • A••••• P••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $112.5M)
    May 2, 2025 · Left the SEC roster · derived
  • S•• A••••• S••••••• left A••••• P••••• W••••• M••••••••• for Farther (registered 2025-02-02)
    May 1, 2025 · Advisor changed firm · fact
  • J•• D•••••• H••••• left A••••• P••••• W••••• M••••••••• for Farther (registered 2025-02-18)
    Feb 18, 2025 · Advisor changed firm · fact
  • A••••• P••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
    Apr 13, 2023 · 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.
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