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
T••••••• B••••• W•••••• L••
Latest filing May 22, 2026
First filing on the tape Oct 1, 2024 · 7 filings
SEC status approved since Nov 4, 2024
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$56.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$171M as of May 22, 2026
Mar 18, 2025$115M then
HNW client RAUM$152M as of May 22, 2026
Mar 18, 2025$99.7M then
State-registered IARs (5.B.3)3 as of May 22, 2026
Mar 18, 20252 then
Employees (5.A)3 as of May 22, 2026
Mar 18, 20252 then
Private funds: no history
RAUM +48% over the last fiscal yearIARs 2 to 3offices 1 to 2
Practice profile
derived from the filing of May 22, 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
- RAUM per advisor
- $56.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $361,086derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +48%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $43.3M, 47 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)
- 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$152M89%
- Individuals$18.8M11%
- Corporations and businesses$25,9850.0%
- Individual clients
- 37reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 473reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.3M for 47 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• A•••• T•••••••Certified Financial Planner, Chartered Financial Analyst | St. Louis, Mo | Sep 17, 2020 | 10 y | 2 |
| M•••••• O•••• B•••••Certified Financial Planner | St. Louis, Mo | Jan 3, 2024 | 11 y | 3 |
| M•••••• R••••• H••••Certified Financial Planner | Saint Charles, Mo | Feb 18, 2026 | 13 y | 0 |
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
- M•••••• O•••• B••••• from H•••••••• A•••••••• L••Jan 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• A•••• T••••••• from A••••••• C•••••• S••••••••• L••Sep 17, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• O•••• · Partner, Membercontrolsince 01/2024 · owns 25% to 50%
- T•••••••• C••••• A•••• · Partner, Cco, Membercontrolsince 07/2020 · owns 25% to 50%
- S•••••• T••• W•••• · Membersince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| St Louis, Mo | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 16, 2026RAUM (Item 5.F) moved from $115,094,690 to $170,793,879 (+48.0%) between the annual amendments of 2025-03-18 and 2026-02-16; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 385 to 473Sep 2, 2025 to Feb 16, 2026
- Advisory employees · 2 to 3Sep 2, 2025 to Feb 16, 2026
- HNW clients · 51 to 65Sep 2, 2025 to Feb 16, 2026
- Assets in custody · $29.3M to $43.3MSep 2, 2025 to Feb 16, 2026
- Employees · 2 to 3Sep 2, 2025 to Feb 16, 2026
- State-registered IARs · 2 to 3Sep 2, 2025 to Feb 16, 2026
- Other offices · 1 to 2Sep 2, 2025 to Feb 16, 2026
- Discretionary RAUM · $115M to $171MSep 2, 2025 to Feb 16, 2026
- HNW RAUM · $99.7M to $152MSep 2, 2025 to Feb 16, 2026
- Individual RAUM · $15.4M to $18.8MSep 2, 2025 to Feb 16, 2026
- RAUM · $115M to $171MSep 2, 2025 to Feb 16, 2026
- Financial planning clients · 51-100 to 51-100Mar 18, 2025 to Jul 3, 2025
- Accounts · 359 to 385Oct 16, 2024 to Mar 18, 2025
- Corporate clients · 1.0 to unsetOct 16, 2024 to Mar 18, 2025
- HNW clients · 45 to 51Oct 16, 2024 to Mar 18, 2025
- Individual clients · 40 to 37Oct 16, 2024 to Mar 18, 2025
- Assets in custody · $25.8M to $29.3MOct 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $102M to $115MOct 16, 2024 to Mar 18, 2025
- HNW RAUM · $86.5M to $99.7MOct 16, 2024 to Mar 18, 2025
- Individual RAUM · $15.1M to $15.4MOct 16, 2024 to Mar 18, 2025
- RAUM · $102M to $115MOct 16, 2024 to Mar 18, 2025
Signals
1 dated events
- T••••••• B••••• W•••••• L•• filed its initial SEC registration (Form ADV)Oct 1, 2024 · 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/toberman-beckerreportedpublic record, Form ADV, Sep 18, 2026
- Website
- craigtoberman.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (314) 900-1404reportedpublic record, Form ADV, May 22, 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
- $56.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026