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
T•• Y••••• G••••
Legal name T•• Y••••• G••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Mar 9, 2020 · 10 filings
SEC status approved since Apr 9, 2020
RAUM
$296M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$292M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$296M as of Mar 9, 2026
Mar 20, 2021$147M then
HNW client RAUM$246M as of Mar 9, 2026
Mar 20, 2021$108M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 20, 20212 then
Employees (5.A)4 as of Mar 9, 2026
Mar 20, 20213 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 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
- $59.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $404,887derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $296MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$246M83%
- Individuals$45.8M15%
- Pension and profit-sharing plans$3.0M1.0%
- Corporations and businesses$1.8M0.6%
- Individual clients
- 263reported
- HNW clients
- 209reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 732reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• W•••••• Y•••••Certified Financial Planner | Manchester, Mo | Jan 4, 2016 | 42 y | 1 |
| J••••• P•••• F•••••• | Manchester, Mo | Feb 10, 2016 | 23 y | 0 |
| S•••••• J•••• N•••••Certified Financial Planner | Manchester, Mo | Jan 6, 2023 | 10 y | 2 |
| S•••••• D••••• T••••••• | Manchester, Mo | Feb 8, 2024 | 23 y | 4 |
| C••••• Y••••• K•••••Certified Financial Planner | Manchester, Mo | Feb 14, 2024 | 12 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
- C••••• Y••••• K••••• from M••••• S••••••Feb 14, 2024 · Wirehouse to independent RIA
- S•••••• D••••• T••••••• from W•••• F•••• A•••••••Feb 8, 2024 · Wirehouse to independent RIA
- S•••••• J•••• N••••• from M•• I•••••••• S•••••••• L••Jan 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• W•••••• Y••••• from V••••••• I••••••••• A•••••••• I•••Jan 4, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y•••••• C•••• · Chief Compliance Officercontrolsince 08/2015 · owns less than 5%
- Y•••••• S••••• W•••••• · Presidentcontrolsince 08/2015 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manchester, Mo · principal | 5 | 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
- clients down average size upCombination · filing Mar 9, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $265,000,000 to $296,377,533, advisors 2 to 2, private clients 646 to 472, offices 0 to 0 (2025-03-30 to 2026-03-09)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 852 to 732Mar 30, 2025 to Mar 9, 2026
- Corporate clients · 4 to 5Mar 30, 2025 to Mar 9, 2026
- HNW clients · 293 to 209Mar 30, 2025 to Mar 9, 2026
- Individual clients · 353 to 263Mar 30, 2025 to Mar 9, 2026
- Discretionary RAUM · $265M to $296MMar 30, 2025 to Mar 9, 2026
- HNW RAUM · $189M to $246MMar 30, 2025 to Mar 9, 2026
- Individual RAUM · $72.0M to $45.8MMar 30, 2025 to Mar 9, 2026
- Pension RAUM · $2.4M to $3.0MMar 30, 2025 to Mar 9, 2026
- RAUM · $265M to $296MMar 30, 2025 to Mar 9, 2026
- Wrap assets (manager) · $236M to $0Mar 30, 2025 to Mar 9, 2026
- Wrap assets (sponsor) · $28.5M to $0Mar 30, 2025 to Mar 9, 2026
- Accounts · 799 to 852Mar 2, 2024 to Mar 30, 2025
- Corporate clients · 0 to 4Mar 2, 2024 to Mar 30, 2025
- HNW clients · 66 to 293Mar 2, 2024 to Mar 30, 2025
- Individual clients · 307 to 353Mar 2, 2024 to Mar 30, 2025
- Pension plan clients · 4 to 2Mar 2, 2024 to Mar 30, 2025
- Financial planning clients · 101-250 to 0Mar 2, 2024 to Mar 30, 2025
- Discretionary RAUM · $219M to $265MMar 2, 2024 to Mar 30, 2025
- HNW RAUM · $153M to $189MMar 2, 2024 to Mar 30, 2025
- Individual RAUM · $61.5M to $72.0MMar 2, 2024 to Mar 30, 2025
- Pension RAUM · $4.0M to $2.4MMar 2, 2024 to Mar 30, 2025
- RAUM · $219M to $265MMar 2, 2024 to Mar 30, 2025
- Wrap assets (manager) · $18.0M to $236MMar 2, 2024 to Mar 30, 2025
- Wrap assets (sponsor) · $0 to $28.5MMar 2, 2024 to Mar 30, 2025
- Accounts · 738 to 799Mar 12, 2023 to Mar 2, 2024
- HNW clients · 43 to 66Mar 12, 2023 to Mar 2, 2024
- Individual clients · 322 to 307Mar 12, 2023 to Mar 2, 2024
- Pension plan clients · 3 to 4Mar 12, 2023 to Mar 2, 2024
- Discretionary RAUM · $176M to $219MMar 12, 2023 to Mar 2, 2024
- HNW RAUM · $112M to $153MMar 12, 2023 to Mar 2, 2024
- Individual RAUM · $62.0M to $61.5MMar 12, 2023 to Mar 2, 2024
- Pension RAUM · $2.0M to $4.0MMar 12, 2023 to Mar 2, 2024
- RAUM · $176M to $219MMar 12, 2023 to Mar 2, 2024
- Accounts · 476 to 738Aug 10, 2022 to Mar 12, 2023
- Corporate clients · 3 to 0Aug 10, 2022 to Mar 12, 2023
- HNW clients · 141 to 43Aug 10, 2022 to Mar 12, 2023
- Individual clients · 191 to 322Aug 10, 2022 to Mar 12, 2023
- Pension plan clients · 2 to 3Aug 10, 2022 to Mar 12, 2023
- Discretionary RAUM · $162M to $176MAug 10, 2022 to Mar 12, 2023
- HNW RAUM · $123M to $112MAug 10, 2022 to Mar 12, 2023
Signals
1 dated events
- T•• Y••••• G•••• filed its initial SEC registration (Form ADV)Mar 9, 2020 · 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 phone
- 314-962-5600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-962-5609reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (314) 962-5600reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $59.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026