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D••••• C••••••

Other adviserSEC-registeredwebsite

Other adviser, reporting $284M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$284M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+7.9%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Mar 2026, RAUM $263M to $284M (+7.9%) on the Form ADV filed 10 Mar 2026.

Every filed figure, and the identifiersCRD 288137 · SEC 801-110384 · 12 filingsShow
CRD 288137SEC 801-110384First filing on the tape Apr 3, 2017, latest Mar 10, 2026SEC status approved since Apr 12, 2017IAPD
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape

RAUM +12% a year over three years · the tape starts Apr 3, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$284M as of Mar 10, 2026
Mar 19, 2018$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Mar 19, 20180 then
Employees (5.A)1 as of Mar 10, 2026
Mar 19, 20181 then
Private funds: no history
RAUM +7.9% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
unknownderivedRAUM 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
$284MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+7.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% corporations and businesses

The breakdown by client type, and the client counts1 client typesShow
  • Corporations and businesses$284M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• A•••••••• R••••• · Owner And Chief Executive Officer. Chief Compliance Officer.control
        since 12/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $263M to $284M
        Mar 11, 2025 to Mar 10, 2026
      • RAUM · $263M to $284M
        Mar 11, 2025 to Mar 10, 2026
      • Financial planning clients · unset to
        Feb 7, 2024 to Mar 11, 2025
      • HQ city · unset to
        Feb 7, 2024 to Mar 11, 2025
      • HQ state · unset to
        Feb 7, 2024 to Mar 11, 2025
      Full history · 29 changes
      • Discretionary RAUM · $241M to $263M
        Feb 7, 2024 to Mar 11, 2025
      • RAUM · $241M to $263M
        Feb 7, 2024 to Mar 11, 2025
      • Discretionary RAUM · $204M to $241M
        Feb 27, 2023 to Feb 7, 2024
      • RAUM · $204M to $241M
        Feb 27, 2023 to Feb 7, 2024
      • Discretionary RAUM · $223M to $204M
        Mar 8, 2022 to Feb 27, 2023
      • RAUM · $223M to $204M
        Mar 8, 2022 to Feb 27, 2023
      • Advisory activities · 2 to 1
        Jun 14, 2021 to Mar 8, 2022
      • Business name · C••••••••• to D••••• C••••••
        Jun 14, 2021 to Mar 8, 2022
      • Legal name · C••••••••• LLC to D••••• C••••••
        Jun 14, 2021 to Mar 8, 2022
      • Discretionary RAUM · $192M to $223M
        Jun 14, 2021 to Mar 8, 2022
      • RAUM · $192M to $223M
        Jun 14, 2021 to Mar 8, 2022
      • Advisory activities · 1 to 2
        Apr 29, 2020 to Feb 8, 2021
      • HQ city · ST LOUIS to unset
        Apr 29, 2020 to Feb 8, 2021
      • HQ state · MO to unset
        Apr 29, 2020 to Feb 8, 2021
      • Discretionary RAUM · $137M to $192M
        Apr 29, 2020 to Feb 8, 2021
      • RAUM · $137M to $192M
        Apr 29, 2020 to Feb 8, 2021
      • Discretionary RAUM · $128M to $137M
        Mar 18, 2019 to Apr 29, 2020
      • RAUM · $128M to $137M
        Mar 18, 2019 to Apr 29, 2020
      • Discretionary RAUM · $138M to $128M
        Mar 19, 2018 to Mar 18, 2019
      • RAUM · $138M to $128M
        Mar 19, 2018 to Mar 18, 2019
      • Corporate clients · unset to 1.0
        Apr 3, 2017 to Jan 30, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Jan 30, 2018
      • Discretionary RAUM · $124M to $138M
        Apr 3, 2017 to Jan 30, 2018
      • RAUM · $124M to $138M
        Apr 3, 2017 to Jan 30, 2018
      Signals
      1 dated events
      • ••• Locked
        Apr 3, 2017 · 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
      ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.