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
V•••••• A•••• M••••••••• I•••
Latest filing Jun 11, 2026
First filing on the tape Jun 11, 2026 · 1 filings
RAUM
$99.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$99.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
- RAUM per advisor
- $7.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $358,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived11 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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
- Individuals$99.7M100%
- Individual clients
- 278reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 278reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• A•••••• R•••••• | Saint Louis, Mo | Mar 3, 2017 | 22 y | 4 |
| J••• C••••• H•••• | Saint Louis, Mo | Jul 27, 2017 | 30 y | 2 |
| R••••• J•••• H•••••• | Bonita Springs, Fl | Aug 8, 2017 | 40 y | 5 |
| K•••• E••••• M••••• | Saint Louis, Mo | Oct 3, 2017 | 35 y | 4 |
| M••••• J• B•••• I•• | Saint Louis, Mo | Mar 15, 2018 | 25 y | 5 |
| N••••• H••• M•••• | Wildwood, Mo | Apr 24, 2018 | 27 y | 7 |
| M•••••• E••••• | Houston, Tx | Dec 6, 2018 | 10 y | 4 |
| M••• H••••• C••• | Saint Louis, Mo | Apr 17, 2019 | 17 y | 2 |
| J••••• P•• | Long Grove, Il | Aug 26, 2020 | 19 y | 6 |
| A••• H• G••••• | San Diego, Ca | Apr 12, 2021 | 11 y | 5 |
| E•••• J••••• F•••••••Certified Financial Planner | Saint Charles, Mo | Jun 22, 2021 | 46 y | 2 |
| Z••••• T••• | Saint Louis, Mo | Jan 14, 2022 | 12 y | 0 |
| J••••• Q•• | Saint Louis, Mo | Apr 8, 2023 | 10 y | 0 |
| J•••• D•••••• M•••••• | Bloomfield Hills, Mi | Jan 1, 2025 | 27 y | 4 |
Advisor movement
Left, latest
- D••••• B• I••••• to L•• F•••••••• L••Feb 3, 2025 · Other
- Z•••••• O••••• to M•• I•••••••• S•••••••• L••Sep 14, 2018 · Other
Joined, latest
- J•••• D•••••• M•••••• from L••• K••• • C••••••Jan 1, 2025 · Other
- E•••• J••••• F••••••• from O•••• W•••••• I•••Jun 22, 2021 · Affiliated broker-dealer or bank to a state-registered adviser
- J••••• P•• from R••••• I••••••••• A•••••••• I••Aug 26, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- M••• H••••• C••• from C•••••• M••••••••• S•••••••• I•••Apr 17, 2019 · RIA to a state-registered adviser
- M•••••• E••••• from R•••• I••••••••• A••••••• L••Dec 6, 2018 · Other
- D••••• B• I••••• from F•• S••••••••• C•••••••••Sep 25, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- Z•••••• O••••• from V•••• F•••••••• A•••••••• I•••May 2, 2018 · Other
- N••••• H••• M•••• from C••••••••• A•••••••Apr 24, 2018 · RIA to a state-registered adviser
- M••••• J• B•••• I•• from C••••••••• A•••••••Mar 15, 2018 · RIA to a state-registered adviser
- K•••• E••••• M••••• from F•••• A••••• A••••••• S•••••••• I•••Oct 3, 2017 · Other
- R••••• J•••• H•••••• from A••••••• P••••••••• A•••••••• I••Aug 8, 2017 · Other
- J••• C••••• H•••• from P•••••• L•••• M•••• M••••••••• I•••Jul 27, 2017 · Other
- M•••• A•••••• R•••••• from C••••••••• A•••••••Mar 3, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Saint Louis, Mo · principal | 13 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- D••••• B• I••••• left V•••••• A•••• M••••••••• I••• for L•• F•••••••• L•• (registered 2025-01-21)Feb 3, 2025 · Advisor changed firm · 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
- e••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (314) 828-2111reportedpublic record, Form ADV, Jun 11, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026