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

G••••••••• F•••••••• A•••••••• L••

Former SEC-registered adviserChesterfield, MissouriCRD 290646SEC 801-112095IAPD
Latest filing Sep 28, 2020
First filing on the tape Oct 31, 2017 · 21 filings
RAUM
$189M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$189M as of Mar 10, 2020
Feb 20, 2018$196M then
HNW client RAUM$140M as of Mar 10, 2020
Feb 20, 2018$149M then
State-registered IARs (5.B.3)4 as of Mar 10, 2020
Feb 20, 20183 then
Employees (5.A)4 as of Mar 10, 2020
Feb 20, 20183 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 4 to 6offices 1 to 0
Practice profile
derived from the filing of Sep 28, 2020; every figure names its basis
RAUM per advisor
$31.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$259,723derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$37.7MreportedItem 5.I
Custody
$12.4M, 45 clientsreportedItem 9.A
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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$140M74%
  • Individuals$48.3M26%
  • Pension and profit-sharing plans$545,5370.3%
Individual clients
127reported
HNW clients
68reported
Pension plan clients
1reported
Charitable clients
2reported
Accounts
729reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$12.4M for 45 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••••••• D•••• A•••• · Chief Executive Officercontrol
      since 10/2017 · owns 50% to 75%
    • P••••• D•••••• J•••• · Chief Compliance Officercontrol
      since 10/2017 · owns less than 5%
    • V••••••• M••••••• I•••• · Membercontrol
      since 01/2018 · owns 25% to 50%
    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
    • Advisory employees · 5 to 6
      Aug 7, 2020 to Sep 28, 2020
    • Employees · 5 to 6
      Aug 7, 2020 to Sep 28, 2020
    • State-registered IARs · 5 to 6
      Aug 7, 2020 to Sep 28, 2020
    • Advisory employees · 4 to 5
      Jul 8, 2020 to Aug 7, 2020
    • Employees · 4 to 5
      Jul 8, 2020 to Aug 7, 2020
    • State-registered IARs · 4 to 5
      Jul 8, 2020 to Aug 7, 2020
    • Accounts · 703 to 729
      Sep 30, 2019 to Mar 10, 2020
    • HNW clients · 58 to 68
      Sep 30, 2019 to Mar 10, 2020
    • Individual clients · 139 to 127
      Sep 30, 2019 to Mar 10, 2020
    • Assets in custody · $14.0M to $12.4M
      Sep 30, 2019 to Mar 10, 2020
    • Other offices · 1 to 0
      Sep 30, 2019 to Mar 10, 2020
    • Discretionary RAUM · $159M to $183M
      Sep 30, 2019 to Mar 10, 2020
    • HNW RAUM · $119M to $140M
      Sep 30, 2019 to Mar 10, 2020
    • Individual RAUM · $45.6M to $48.3M
      Sep 30, 2019 to Mar 10, 2020
    • Non-discretionary RAUM · $6.2M to $6.2M
      Sep 30, 2019 to Mar 10, 2020
    • Pension RAUM · $287,443 to $545,537
      Sep 30, 2019 to Mar 10, 2020
    • RAUM · $165M to $189M
      Sep 30, 2019 to Mar 10, 2020
    • Assets in custody · unset to 13969243.0
      Apr 3, 2019 to May 30, 2019
    • Custody of client assets · false to true
      Apr 3, 2019 to May 30, 2019
    • Accounts · 170 to 703
      Jan 24, 2019 to Mar 5, 2019
    • Charity clients · unset to 2.0
      Jan 24, 2019 to Mar 5, 2019
    • Corporate clients · unset to 0.0
      Jan 24, 2019 to Mar 5, 2019
    • HNW clients · 63 to 58
      Jan 24, 2019 to Mar 5, 2019
    • Individual clients · 105 to 139
      Jan 24, 2019 to Mar 5, 2019
    • Pooled vehicle clients · unset to 0.0
      Jan 24, 2019 to Mar 5, 2019
    • Discretionary RAUM · $94.1M to $159M
      Jan 24, 2019 to Mar 5, 2019
    • HNW RAUM · $149M to $119M
      Jan 24, 2019 to Mar 5, 2019
    • Individual RAUM · $47.0M to $45.6M
      Jan 24, 2019 to Mar 5, 2019
    • Non-discretionary RAUM · $102M to $6.2M
      Jan 24, 2019 to Mar 5, 2019
    • Pension RAUM · $175,204 to $287,443
      Jan 24, 2019 to Mar 5, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Jan 24, 2019 to Mar 5, 2019
    • RAUM · $196M to $165M
      Jan 24, 2019 to Mar 5, 2019
    • Advisory employees · 3 to 4
      Dec 3, 2018 to Jan 24, 2019
    • Employees · 3 to 4
      Dec 3, 2018 to Jan 24, 2019
    • State-registered IARs · 3 to 4
      Dec 3, 2018 to Jan 24, 2019
    • Accounts · 0 to 170
      Jan 25, 2018 to Feb 20, 2018
    • BD registered reps · 2 to 0
      Jan 25, 2018 to Feb 20, 2018
    • HNW clients · unset to 63.0
      Jan 25, 2018 to Feb 20, 2018
    • Individual clients · unset to 105.0
      Jan 25, 2018 to Feb 20, 2018
    • Pension plan clients · unset to 1.0
      Jan 25, 2018 to Feb 20, 2018
    Signals
    1 dated events
    • G••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 31, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026