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
C•• C•••••• M•••••••••
Latest filing Mar 30, 2026
First filing on the tape Jan 5, 2023 · 6 filings
SEC status approved since Feb 7, 2023
RAUM
$27.4M
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
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$27.4M as of Mar 30, 2026
Mar 20, 2024$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20240 then
Employees (5.A)4 as of Mar 30, 2026
Mar 20, 20245 then
Private funds: no history
RAUM +82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- 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
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +82%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 institutions, pension consultingreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$22.4M82%
- State and municipal entities$5.0M18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• J•••• G••••• · Managing Membercontrolsince 01/2021 · owns 75% or more
- L••••• B••••• A••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 5Oct 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $15.1M to $27.4MOct 27, 2025 to Mar 30, 2026
- RAUM · $15.1M to $27.4MOct 27, 2025 to Mar 30, 2026
- Accounts · 1 to 3Mar 26, 2024 to Feb 25, 2025
- Advisory employees · 4 to 3Mar 26, 2024 to Feb 25, 2025
- Advisory activities · 1 to 2Mar 26, 2024 to Feb 25, 2025
- Employees · 5 to 4Mar 26, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Feb 25, 2025
- Discretionary RAUM · $5.0M to $15.1MMar 26, 2024 to Feb 25, 2025
- Pension RAUM · 4982652.0 to unsetMar 26, 2024 to Feb 25, 2025
- RAUM · $5.0M to $15.1MMar 26, 2024 to Feb 25, 2025
- Employees · 4 to 5Jan 5, 2023 to Mar 20, 2024
- Discretionary RAUM · $4.4M to $5.0MJan 5, 2023 to Mar 20, 2024
- Pension RAUM · unset to 4982652.0Jan 5, 2023 to Mar 20, 2024
- RAUM · $4.4M to $5.0MJan 5, 2023 to Mar 20, 2024
Signals
1 dated events
- C•• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 5, 2023 · 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
- c•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 314-896-2211reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda 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