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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S•••• S•••• W••••• M••••••••• L••
Latest filing Jun 27, 2025
First filing on the tape Mar 11, 2024 · 13 filings
SEC status 120-day approval since Apr 18, 2024
RAUM
$60.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$60.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$60.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$60.9M as of Jun 27, 2025
Jan 31, 2025$60.9M then
HNW client RAUM$41.6M as of Jun 27, 2025
Jan 31, 2025$41.6M then
State-registered IARs (5.B.3)1 as of Jun 27, 2025
Jan 31, 20251 then
Employees (5.A)1 as of Jun 27, 2025
Jan 31, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 27, 2025; every figure names its basis
- RAUM per advisor
- $60.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $438,218derivedRAUM 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
- 0.2derived6 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$41.6M68%
- Individuals$19.4M32%
- Individual clients
- 123reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 139reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••• D•••••Certified Financial Planner | St. Louis, Mo | Apr 22, 2024 | 32 y | 4 |
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
- J••••• F•••• D••••• from O••••• W••••• M•••••••••Apr 22, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••• F•••• · Managing Partner & Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
Entity owners
- S•••• S•••• H•••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 4 to 5Jan 31, 2025 to Mar 21, 2025
- Accounts · 137 to 139Sep 23, 2024 to Jan 31, 2025
- HNW clients · 21 to 16Sep 23, 2024 to Jan 31, 2025
- Individual clients · 57 to 123Sep 23, 2024 to Jan 31, 2025
- Other offices · 0 to 4Sep 23, 2024 to Jan 31, 2025
- Discretionary RAUM · $55.0M to $60.9MSep 23, 2024 to Jan 31, 2025
- HNW RAUM · $41.3M to $41.6MSep 23, 2024 to Jan 31, 2025
- Individual RAUM · $13.7M to $19.4MSep 23, 2024 to Jan 31, 2025
- RAUM · $55.0M to $60.9MSep 23, 2024 to Jan 31, 2025
- Accounts · 0 to 137May 13, 2024 to Aug 6, 2024
- HNW clients · unset to 21.0May 13, 2024 to Aug 6, 2024
- Individual clients · unset to 57.0May 13, 2024 to Aug 6, 2024
- Discretionary RAUM · $0 to $55.0MMay 13, 2024 to Aug 6, 2024
- HNW RAUM · unset to 41326947.0May 13, 2024 to Aug 6, 2024
- Individual RAUM · unset to 13717572.0May 13, 2024 to Aug 6, 2024
- RAUM · $0 to $55.0MMay 13, 2024 to Aug 6, 2024
- Financial planning clients · unset to 0Mar 11, 2024 to Mar 13, 2024
Signals
4 dated events
- S•••• S•••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $60.9M)Aug 1, 2025 · Left the SEC roster · derived
- Jacqueline Emily Andrews (Chief Compliance Officer) no longer on Schedule A of S•••• S•••• W••••• M••••••••• L•• (listed 2024-04-01, absent 2024-04-19)Apr 19, 2024 · Control person left · inference
- Frank Joseph Darpel (Chief Executive Officer) appeared on Schedule A of S•••• S•••• W••••• M••••••••• L••Apr 1, 2024 · Control person joined · fact
- S•••• S•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 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
- Website
- H•••••••••reportedpublic 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
- $60.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026