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
W••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 18, 2016 · 29 filings
SEC status approved since Sep 7, 2016
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$312M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$315M as of Mar 31, 2026
Feb 23, 2017$119M then
HNW client RAUM$270M as of Mar 31, 2026
Jan 16, 2018$104M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 23, 20171 then
Employees (5.A)4 as of Mar 31, 2026
Feb 23, 20172 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 31, 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $747,269derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $315MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M85%
- Individuals$42.1M13%
- Pension and profit-sharing plans$3.5M1.1%
- Corporations and businesses$167,9280.1%
- Charitable organizations$111,0310.0%
- Individual clients
- 131reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 422reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• R•••• W••••• | Verona, Mo | Oct 24, 2016 | 43 y | 4 |
| M•••• M•••••• C••••• | Verona, Mo | Feb 6, 2017 | 20 y | 3 |
| L••••••• C••••• E•••• | Verona, Mo | Jun 4, 2026 | 14 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
- M•••• M•••••• C••••• from S••••••••• A•••• M••••••••• L••Feb 6, 2017 · Other
- D••••• R•••• W••••• from S••••••••• C•••••• M••••••••• L••Oct 24, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••• M•••••• · Chief Compliance Officer And Chief Operations Officercontrolsince 10/2019 · owns less than 5%
- W•••••• D•••••• R•••• · Ceocontrolsince 08/2016 · 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 |
|---|---|---|---|---|---|
| Verona, Mo | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Springfield, MO1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 429 to 422Dec 1, 2025 to Mar 31, 2026
- HNW clients · 55 to 64Dec 1, 2025 to Mar 31, 2026
- Individual clients · 137 to 131Dec 1, 2025 to Mar 31, 2026
- Other offices · 1 to 2Dec 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $284M to $315MDec 1, 2025 to Mar 31, 2026
- HNW RAUM · $234M to $270MDec 1, 2025 to Mar 31, 2026
- Individual RAUM · $46.3M to $42.1MDec 1, 2025 to Mar 31, 2026
- Pension RAUM · $3.4M to $3.5MDec 1, 2025 to Mar 31, 2026
- RAUM · $284M to $315MDec 1, 2025 to Mar 31, 2026
- Accounts · 417 to 429Feb 22, 2024 to Mar 20, 2025
- HNW clients · 47 to 55Feb 22, 2024 to Mar 20, 2025
- Individual clients · 153 to 137Feb 22, 2024 to Mar 20, 2025
- Employees · 3 to 4Feb 22, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Feb 22, 2024 to Mar 20, 2025
- HQ city · unset to Feb 22, 2024 to Mar 20, 2025
- HQ state · unset to Feb 22, 2024 to Mar 20, 2025
- Other offices · 2 to 1Feb 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $243M to $284MFeb 22, 2024 to Mar 20, 2025
- HNW RAUM · $195M to $234MFeb 22, 2024 to Mar 20, 2025
- Individual RAUM · $45.6M to $46.3MFeb 22, 2024 to Mar 20, 2025
- Pension RAUM · $2.8M to $3.4MFeb 22, 2024 to Mar 20, 2025
- RAUM · $243M to $284MFeb 22, 2024 to Mar 20, 2025
- Accounts · 414 to 417Mar 3, 2023 to Feb 22, 2024
- Charity clients · 0.0 to unsetMar 3, 2023 to Feb 22, 2024
- Corporate clients · 1.0 to unsetMar 3, 2023 to Feb 22, 2024
- HNW clients · 37 to 47Mar 3, 2023 to Feb 22, 2024
- Individual clients · 160 to 153Mar 3, 2023 to Feb 22, 2024
- Discretionary RAUM · $197M to $243MMar 3, 2023 to Feb 22, 2024
- HNW RAUM · $146M to $195MMar 3, 2023 to Feb 22, 2024
- Individual RAUM · $49.0M to $45.6MMar 3, 2023 to Feb 22, 2024
- Pension RAUM · $2.0M to $2.8MMar 3, 2023 to Feb 22, 2024
- RAUM · $197M to $243MMar 3, 2023 to Feb 22, 2024
- Accounts · 386 to 414Feb 18, 2022 to Mar 3, 2023
- Advisory activities · 3 to 2Feb 18, 2022 to Mar 3, 2023
- Corporate clients · 0 to 1Feb 18, 2022 to Mar 3, 2023
- HNW clients · 45 to 37Feb 18, 2022 to Mar 3, 2023
- Individual clients · 154 to 160Feb 18, 2022 to Mar 3, 2023
- Discretionary RAUM · $201M to $197MFeb 18, 2022 to Mar 3, 2023
- HNW RAUM · $153M to $146MFeb 18, 2022 to Mar 3, 2023
- Individual RAUM · $44.9M to $49.0MFeb 18, 2022 to Mar 3, 2023
Signals
1 dated events
- W••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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
- r••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 417.235.9125reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- w•••••••••.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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026