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
A•••••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jun 27, 2023 · 7 filings
SEC status approved since Jul 28, 2023
RAUM
$346M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$346M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$346M as of Mar 24, 2026
Mar 29, 2024$287M then
HNW client RAUM$303M as of Mar 24, 2026
Mar 29, 2024$247M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 29, 20243 then
Employees (5.A)4 as of Mar 24, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $386,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $346MreportedItem 5.I
- Custody
- $176M, 41 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$303M88%
- Individuals$42.2M12%
- Individual clients
- 110reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 895reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $176M for 41 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| T•••••• R••••••• O••••• | Kirkwood, Mo | Sep 18, 2023 | 26 y | 1 |
| S••••• J••••• E••••••Certified Financial Planner | Kirkwood, Mo | Sep 18, 2023 | 16 y | 3 |
| R••••• C••••• | Kirkwood, Mo | Sep 19, 2023 | 12 y | 1 |
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
- R••••• C••••• from W•••• F•••• A•••••••Sep 19, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••••• R••••••• O••••• from W•••• F•••• A•••••••Sep 18, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• J••••• E•••••• from W•••• F•••• A•••••••Sep 18, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• S•••••• J••••• · Managing Member And Chief Compliance Officercontrolsince 04/2023 · owns 5% to 10%
- O•••••• T••••••• R••••••• · Managing Membercontrolsince 04/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Kirkwood, Mo · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 862 to 895Mar 5, 2025 to Mar 24, 2026
- Assets in custody · $62.8M to $176MMar 5, 2025 to Mar 24, 2026
- Employees · 3 to 4Mar 5, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 101-250Mar 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $257M to $284MMar 5, 2025 to Mar 24, 2026
- HNW RAUM · $273M to $303MMar 5, 2025 to Mar 24, 2026
- Individual RAUM · $40.4M to $42.2MMar 5, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $56.2M to $61.6MMar 5, 2025 to Mar 24, 2026
- RAUM · $313M to $346MMar 5, 2025 to Mar 24, 2026
- Accounts · 799 to 862Oct 28, 2024 to Mar 5, 2025
- HNW clients · 82 to 90Oct 28, 2024 to Mar 5, 2025
- Individual clients · 103 to 110Oct 28, 2024 to Mar 5, 2025
- Assets in custody · $81.4M to $62.8MOct 28, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Oct 28, 2024 to Mar 5, 2025
- Discretionary RAUM · $230M to $257MOct 28, 2024 to Mar 5, 2025
- HNW RAUM · $247M to $273MOct 28, 2024 to Mar 5, 2025
- Individual RAUM · $40.8M to $40.4MOct 28, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $56.9M to $56.2MOct 28, 2024 to Mar 5, 2025
- RAUM · $287M to $313MOct 28, 2024 to Mar 5, 2025
- Accounts · 766 to 799Nov 21, 2023 to Mar 29, 2024
- HNW clients · 65 to 82Nov 21, 2023 to Mar 29, 2024
- Individual clients · 115 to 103Nov 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $106M to $230MNov 21, 2023 to Mar 29, 2024
- HNW RAUM · $199M to $247MNov 21, 2023 to Mar 29, 2024
- Individual RAUM · $51.5M to $40.8MNov 21, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $144M to $56.9MNov 21, 2023 to Mar 29, 2024
- RAUM · $250M to $287MNov 21, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · $251M to $0Nov 21, 2023 to Mar 29, 2024
- Accounts · 0 to 766Sep 18, 2023 to Nov 21, 2023
- Advisory employees · 2 to 3Sep 18, 2023 to Nov 21, 2023
- HNW clients · unset to 65.0Sep 18, 2023 to Nov 21, 2023
- Individual clients · unset to 115.0Sep 18, 2023 to Nov 21, 2023
- Assets in custody · $0 to $81.4MSep 18, 2023 to Nov 21, 2023
- Employees · 2 to 3Sep 18, 2023 to Nov 21, 2023
- State-registered IARs · 2 to 3Sep 18, 2023 to Nov 21, 2023
- Other offices · 2 to 1Sep 18, 2023 to Nov 21, 2023
- Discretionary RAUM · $0 to $106MSep 18, 2023 to Nov 21, 2023
- HNW RAUM · unset to 198838487.0Sep 18, 2023 to Nov 21, 2023
- Individual RAUM · unset to 51503115.0Sep 18, 2023 to Nov 21, 2023
- Non-discretionary RAUM · $0 to $144MSep 18, 2023 to Nov 21, 2023
Signals
1 dated events
- A•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 27, 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
- Business phone
- 573-999-2248reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-238-8380reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-238-8381reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (573) 999-2248reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026