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
H•••••• W••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Sep 11, 2018 · 11 filings
SEC status approved since Apr 18, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.3M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$127M as of Mar 18, 2026
Feb 8, 2019$15.1M then
HNW client RAUM$92.0M as of Mar 18, 2026
Feb 8, 2019$6.1M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Feb 8, 20192 then
Employees (5.A)4 as of Mar 18, 2026
Feb 8, 20192 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $63.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $247,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $139MreportedItem 5.I
- Custody
- $945,443, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.0M73%
- Individuals$34.5M27%
- Charitable organizations$34,2920.0%
- Individual clients
- 161reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 511reported
- Financial planning clients
- reported
- Wrap fee programs
- $12.6M sponsored, $114M managedreported
- Custody of client assets
- $945,443 for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• D••••• P••••••••• | Springfield, Mo | Nov 6, 2018 | 29 y | 1 |
| T••••• W•••• G•••• | Springfield, Mo | Nov 7, 2018 | 10 y | 4 |
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
- T••••• W•••• G•••• from W••••••• F•••••••• S•••••••• I•••Nov 7, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••• D••••• P••••••••• from W••••••• F•••••••• S•••••••• I•••Nov 6, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••• F•••••••• S•••••••• I•••Nov 7, 2018 · Springfield, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••••• W•••• · Managing Member & Chief Compliance Officercontrolsince 10/2018 · owns 50% to 75%
- P••••••••• R••••• D••••• · Managing Membersince 10/2018 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Springfield, Mo · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 461 to 511Mar 20, 2025 to Mar 18, 2026
- HNW clients · 35 to 48Mar 20, 2025 to Mar 18, 2026
- Individual clients · 157 to 161Mar 20, 2025 to Mar 18, 2026
- Assets in custody · $1.1M to $945,443Mar 20, 2025 to Mar 18, 2026
- Discretionary RAUM · $99.0M to $118MMar 20, 2025 to Mar 18, 2026
- HNW RAUM · $71.3M to $92.0MMar 20, 2025 to Mar 18, 2026
- Individual RAUM · $35.8M to $34.5MMar 20, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $8.2M to $8.2MMar 20, 2025 to Mar 18, 2026
- RAUM · $107M to $127MMar 20, 2025 to Mar 18, 2026
- Wrap assets (manager) · $96.1M to $114MMar 20, 2025 to Mar 18, 2026
- Wrap assets (sponsor) · $11.1M to $12.6MMar 20, 2025 to Mar 18, 2026
- Accounts · 86 to 461Jul 15, 2019 to Mar 20, 2025
- Advisory activities · 2 to 3Jul 15, 2019 to Mar 20, 2025
- HNW clients · unset to 35.0Jul 15, 2019 to Mar 20, 2025
- Individual clients · 51 to 157Jul 15, 2019 to Mar 20, 2025
- Assets in custody · unset to 1065958.0Jul 15, 2019 to Mar 20, 2025
- Custody of client assets · false to trueJul 15, 2019 to Mar 20, 2025
- Employees · 2 to 4Jul 15, 2019 to Mar 20, 2025
- Financial planning clients · 0 to Jul 15, 2019 to Mar 20, 2025
- Discretionary RAUM · $12.8M to $99.0MJul 15, 2019 to Mar 20, 2025
- HNW RAUM · $6.1M to $71.3MJul 15, 2019 to Mar 20, 2025
- Individual RAUM · $9.0M to $35.8MJul 15, 2019 to Mar 20, 2025
- Non-discretionary RAUM · $2.3M to $8.2MJul 15, 2019 to Mar 20, 2025
- RAUM · $15.1M to $107MJul 15, 2019 to Mar 20, 2025
- Wrap assets (manager) · $0 to $96.1MJul 15, 2019 to Mar 20, 2025
- Wrap assets (sponsor) · $0 to $11.1MJul 15, 2019 to Mar 20, 2025
- Accounts · 0 to 86Nov 13, 2018 to Feb 8, 2019
- Individual clients · unset to 51.0Nov 13, 2018 to Feb 8, 2019
- Employees · 3 to 2Nov 13, 2018 to Feb 8, 2019
- Discretionary RAUM · $0 to $12.8MNov 13, 2018 to Feb 8, 2019
- HNW RAUM · unset to 6058943.0Nov 13, 2018 to Feb 8, 2019
- Individual RAUM · unset to 9018423.0Nov 13, 2018 to Feb 8, 2019
- Non-discretionary RAUM · $0 to $2.3MNov 13, 2018 to Feb 8, 2019
- RAUM · $0 to $15.1MNov 13, 2018 to Feb 8, 2019
Signals
1 dated events
- H•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 2018 · 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
- Principal office phone
- (417) 306-9891reportedpublic record, Form ADV, Mar 18, 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
- $63.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026