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
M••••••••• R•• L••
Latest filing Feb 12, 2026
First filing on the tape May 11, 2021 · 20 filings
SEC status approved since Jun 8, 2021
RAUM
$446M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$70.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$446M as of Feb 12, 2026
Jan 14, 2022$287M then
HNW client RAUM$40.6M as of Feb 12, 2026
Jan 14, 2022$29.7M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Jan 14, 20223 then
Employees (5.A)3 as of Feb 12, 2026
Jan 14, 20223 then
Private funds: no history
RAUM +14% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$376M84%
- High-net-worth individuals$40.6M9.1%
- Individuals$30.0M6.7%
- Individual clients
- 104reported
- HNW clients
- 23reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 206reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.84 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 |
|---|---|---|---|---|
| R••••• S••••• O••••• | O'Fallon, Mo | Jul 6, 2020 | 33 y | 4 |
| R•••••• L•• C••••• | Ballwin, Mo | Aug 24, 2020 | 32 y | 4 |
| N••••••• S• O•••••Certified Financial Planner | O'Fallon, Mo | Mar 3, 2021 | 18 y | 5 |
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
- K•••• A••••• L••• to T•••••• A•••••••• L••Sep 10, 2021 · Other
Joined, latest
- N••••••• S• O••••• from N••••••••• M••••• I••••••••• S•••••••••Mar 3, 2021 · Other
- K•••• A••••• L••• from P••••••••• S••••••••• C•••••••••Feb 11, 2021 · Other
- R•••••• L•• C••••• from V•••• F•••••••• A•••••••• I•••Aug 24, 2020 · Other
- R••••• S••••• O••••• from C•••••• M••••••••• S•••••••• I•••Jul 6, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• L•• · Managing Partner/Investment Advisor Representativecontrolsince 08/2020 · owns 25% to 50%
- O•••••• N•••••••• S• · Chief Compliance Officer/Investment Advisor Representativecontrolsince 02/2021 · owns 25% to 50%
- O•••••• R•••••• S••••• · Managing Partner/Investment Advisor Represetativecontrolsince 07/2019 · 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 |
|---|---|---|---|---|---|
| Ofallon, Mo | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 209 to 206Jan 15, 2025 to Feb 12, 2026
- HNW clients · 26 to 23Jan 15, 2025 to Feb 12, 2026
- Individual clients · 105 to 104Jan 15, 2025 to Feb 12, 2026
- Financial planning clients · 1-10 to 0Jan 15, 2025 to Feb 12, 2026
- Discretionary RAUM · $392M to $446MJan 15, 2025 to Feb 12, 2026
- HNW RAUM · $37.9M to $40.6MJan 15, 2025 to Feb 12, 2026
- Individual RAUM · $27.8M to $30.0MJan 15, 2025 to Feb 12, 2026
- Pension RAUM · $327M to $376MJan 15, 2025 to Feb 12, 2026
- RAUM · $392M to $446MJan 15, 2025 to Feb 12, 2026
- Accounts · 136 to 209Jul 16, 2024 to Jan 15, 2025
- HNW clients · 102 to 26Jul 16, 2024 to Jan 15, 2025
- Individual clients · 29 to 105Jul 16, 2024 to Jan 15, 2025
- Financial planning clients · 1-10 to 1-10Jul 16, 2024 to Jan 15, 2025
- Discretionary RAUM · $375M to $392MJul 16, 2024 to Jan 15, 2025
- HNW RAUM · $40.1M to $37.9MJul 16, 2024 to Jan 15, 2025
- Individual RAUM · $22.4M to $27.8MJul 16, 2024 to Jan 15, 2025
- Pension RAUM · $312M to $327MJul 16, 2024 to Jan 15, 2025
- RAUM · $375M to $392MJul 16, 2024 to Jan 15, 2025
- Accounts · 134 to 136Jan 31, 2024 to Jul 16, 2024
- HNW clients · 27 to 102Jan 31, 2024 to Jul 16, 2024
- Individual clients · 102 to 29Jan 31, 2024 to Jul 16, 2024
- Discretionary RAUM · $341M to $375MJan 31, 2024 to Jul 16, 2024
- HNW RAUM · $36.6M to $40.1MJan 31, 2024 to Jul 16, 2024
- Individual RAUM · $21.0M to $22.4MJan 31, 2024 to Jul 16, 2024
- Pension RAUM · $283M to $312MJan 31, 2024 to Jul 16, 2024
- RAUM · $341M to $375MJan 31, 2024 to Jul 16, 2024
- Accounts · 149 to 134Oct 13, 2023 to Jan 19, 2024
- HNW clients · 19 to 27Oct 13, 2023 to Jan 19, 2024
- Individual clients · 100 to 102Oct 13, 2023 to Jan 19, 2024
- Pension plan clients · unset to 5.0Oct 13, 2023 to Jan 19, 2024
- Insurance-licensed employees · 1 to 0Oct 13, 2023 to Jan 19, 2024
- Financial planning clients · 0 to 1-10Oct 13, 2023 to Jan 19, 2024
- Discretionary RAUM · $310M to $341MOct 13, 2023 to Jan 19, 2024
- HNW RAUM · $29.3M to $36.6MOct 13, 2023 to Jan 19, 2024
- Individual RAUM · $24.9M to $21.0MOct 13, 2023 to Jan 19, 2024
- Pension RAUM · $256M to $283MOct 13, 2023 to Jan 19, 2024
- RAUM · $310M to $341MOct 13, 2023 to Jan 19, 2024
- Accounts · 137 to 149Jan 18, 2023 to Oct 12, 2023
- Individual clients · 84 to 100Jan 18, 2023 to Oct 12, 2023
- Discretionary RAUM · $274M to $310MJan 18, 2023 to Oct 12, 2023
Signals
1 dated events
- M••••••••• R•• L•• filed its initial SEC registration (Form ADV)May 11, 2021 · 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
- Firm profile
- linkedin.com/company/mainstreet-ria-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mainstreet-ria.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (888) 801-0325reportedpublic record, Form ADV, Feb 12, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026