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

S•••••••• W••••• M••••••••• L••

Former SEC-registered adviserArnold, MissouriCRD 323899SEC 801-126964IAPD
Latest filing May 23, 2023
First filing on the tape Oct 28, 2022 · 6 filings
RAUM
$17.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$17.3M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$5.8M
derived; firm RAUM over IAPD count
Employees
3
1 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$17.3M as of May 23, 2023
Oct 28, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 23, 2023
Oct 28, 20221 then
Employees (5.A)3 as of May 23, 2023
Oct 28, 20221 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 23, 2023; every figure names its basis
RAUM per advisor
$5.8MderivedRAUM 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
$67,108derivedRAUM 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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$11.1M, 154 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Individuals$17.3M100%
Individual clients
187reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
258reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$11.1M for 154 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• R•••••• S••••••••Chartered Financial ConsultantArnold, MoNov 28, 202232 y4
S•••• H••••••• L••Arnold, MoOct 1, 202512 y0
T•••• D••• S••••••••Arnold, MoOct 16, 202513 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••••• B•••• · Managing Member & Chief Compliance Officercontrol
      since 11/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    • B•••• S••••••••
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Arnold, Mo · principal320
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 258
      Nov 28, 2022 to Feb 2, 2023
    • Business name · N••• W••••• M••••••••• L•• to S•••••••• W••••• M••••••••• L••
      Nov 28, 2022 to Feb 2, 2023
    • Individual clients · unset to 187.0
      Nov 28, 2022 to Feb 2, 2023
    • Assets in custody · unset to 11120688.0
      Nov 28, 2022 to Feb 2, 2023
    • Custody of client assets · false to true
      Nov 28, 2022 to Feb 2, 2023
    • Employees · 1 to 3
      Nov 28, 2022 to Feb 2, 2023
    • Insurance-licensed employees · 1 to 0
      Nov 28, 2022 to Feb 2, 2023
    • Discretionary RAUM · $0 to $17.3M
      Nov 28, 2022 to Feb 2, 2023
    • Individual RAUM · unset to 17313761.0
      Nov 28, 2022 to Feb 2, 2023
    • RAUM · $0 to $17.3M
      Nov 28, 2022 to Feb 2, 2023
    • Legal name · N••• W••••• M••••••••• L•• to S•••••••• W••••• M••••••••• L••
      Oct 28, 2022 to Nov 28, 2022
    Signals
    1 dated events
    • N••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 28, 2022 · 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
    brianskrobonja.comreportedpublic record, Form ADV, Sep 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $5.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026