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
E••• A•••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Oct 6, 2015 · 34 filings
SEC status approved since Oct 15, 2015
RAUM
$220M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$220M as of Mar 4, 2026
Mar 30, 2016$108M then
HNW client RAUM$0 as of Mar 4, 2026
Mar 22, 2019$0 then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Mar 30, 20162 then
Employees (5.A)3 as of Mar 4, 2026
Mar 30, 20164 then
Private funds: no history
RAUM +6.2% over the last fiscal year+6.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $73.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $14.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$211M96%
- State and municipal entities$8.5M3.9%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• T••••• K•••••••• | St. Louis, Mo | Jan 3, 2022 | 45 y | 1 |
| K•••••• K•••••••• S••••• | St. Louis, Mo | Jan 3, 2022 | 23 y | 1 |
| G•••••• M•••• B••••••••• | St. Louis, Mo | Jan 3, 2022 | 20 y | 1 |
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
- K•••• T••••• K•••••••• from C••••••• • C••• I•••Jan 3, 2022 · Other
- K•••••• K•••••••• S••••• from C••••••• • C••• I•••Jan 3, 2022 · Other
- G•••••• M•••• B••••••••• from C••••••• • C••• I•••Jan 3, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• G••••••• M•••• · Member & Presidentcontrolsince 07/2015 · owns 25% to 50%
- K••••••••• K••••• T••••• · Member & Vice Presidentcontrolsince 07/2015 · owns 10% to 25%
- S•••••• K••••••• K•••••••• · Member, Secretary & Treasurer, Chief Compliance Officercontrolsince 07/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $98.8M to $110MMar 7, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $108M to $110MMar 7, 2025 to Mar 4, 2026
- Pension RAUM · $200M to $211MMar 7, 2025 to Mar 4, 2026
- RAUM · $207M to $220MMar 7, 2025 to Mar 4, 2026
- Financial planning clients · unset to Feb 25, 2025 to Mar 7, 2025
- Accounts · 16 to 15Dec 20, 2024 to Feb 25, 2025
- Pension plan clients · 15 to 14Dec 20, 2024 to Feb 25, 2025
- Discretionary RAUM · $112M to $98.8MDec 20, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $91.8M to $108MDec 20, 2024 to Feb 25, 2025
- Pension RAUM · $198M to $200MDec 20, 2024 to Feb 25, 2025
- RAUM · $204M to $207MDec 20, 2024 to Feb 25, 2025
- Accounts · 15 to 16Mar 14, 2023 to Mar 19, 2024
- Pension plan clients · 14 to 15Mar 14, 2023 to Mar 19, 2024
- Discretionary RAUM · $103M to $112MMar 14, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $78.0M to $91.8MMar 14, 2023 to Mar 19, 2024
- Pension RAUM · $177M to $198MMar 14, 2023 to Mar 19, 2024
- RAUM · $181M to $204MMar 14, 2023 to Mar 19, 2024
- Accounts · 13 to 15Mar 14, 2022 to Mar 14, 2023
- Pension plan clients · 12 to 14Mar 14, 2022 to Mar 14, 2023
- Discretionary RAUM · $128M to $103MMar 14, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $91.1M to $78.0MMar 14, 2022 to Mar 14, 2023
- Pension RAUM · $217M to $177MMar 14, 2022 to Mar 14, 2023
- RAUM · $219M to $181MMar 14, 2022 to Mar 14, 2023
- Insurance-licensed employees · 3 to 0Mar 8, 2022 to Mar 14, 2022
- State-registered IARs · 0 to 3Mar 8, 2022 to Mar 14, 2022
- Accounts · 21 to 13Jan 26, 2022 to Mar 8, 2022
- Pension plan clients · 21 to 12Jan 26, 2022 to Mar 8, 2022
- Discretionary RAUM · $117M to $128MJan 26, 2022 to Mar 8, 2022
- Non-discretionary RAUM · $230M to $91.1MJan 26, 2022 to Mar 8, 2022
- Pension RAUM · $347M to $217MJan 26, 2022 to Mar 8, 2022
- RAUM · $347M to $219MJan 26, 2022 to Mar 8, 2022
- Discretionary RAUM · $104M to $117MApr 22, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $205M to $230MApr 22, 2020 to Feb 8, 2021
- Pension RAUM · $308M to $347MApr 22, 2020 to Feb 8, 2021
- RAUM · $308M to $347MApr 22, 2020 to Feb 8, 2021
- Accounts · 15 to 21Mar 22, 2019 to Feb 19, 2020
- Pension plan clients · 15 to 21Mar 22, 2019 to Feb 19, 2020
- Discretionary RAUM · $54.2M to $104MMar 22, 2019 to Feb 19, 2020
- Non-discretionary RAUM · $155M to $205MMar 22, 2019 to Feb 19, 2020
- Pension RAUM · $209M to $308MMar 22, 2019 to Feb 19, 2020
Signals
2 dated events
- E••• A•••••••• L•• reported RAUM $218.6M, down 37% from $347.3M (2022-01-26 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- E••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 6, 2015 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-367-6327reportedpublic record, Form ADV, Mar 4, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026