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.
SEC-registered adviser
C••••••••• T•••• F•••••••• S•••••••
Legal name C••••••••• T•••• W••••• M••••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Mar 19, 2026 · 2 filings
SEC status approved since Mar 4, 2026
RAUM
$204M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
92%
$188M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$40.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$204M as of Jul 2, 2026
Mar 19, 2026$0 then
HNW client RAUM: $98.5M
State-registered IARs (5.B.3)5 as of Jul 2, 2026
Mar 19, 20265 then
Employees (5.A)5 as of Jul 2, 2026
Mar 19, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 2, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $40.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $147,018derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $173MreportedItem 5.I
- 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$98.5M48%
- Individuals$89.3M44%
- Charitable organizations$6.5M3.2%
- Pension and profit-sharing plans$6.4M3.1%
- Corporations and businesses$3.3M1.6%
- Individual clients
- 857reported
- HNW clients
- 46reported
- Pension plan clients
- 1reported
- Charitable clients
- 17reported
- Accounts
- 1,388reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J••••• E•••••• | Fayette, Mo | Mar 16, 2026 | 34 y | 3 |
| C•••••• A••••• B••• | Fayette, Mo | Mar 16, 2026 | 13 y | 4 |
| A••••• F•••••• | Fayette, Mo | Mar 23, 2026 | 13 y | 1 |
| C••• B••••••• H•••••••• | Fayette, Mo | Mar 23, 2026 | 11 y | 1 |
| J•••••• T••• K••••• | Fayette, Mo | Mar 23, 2026 | 13 y | 1 |
Advisor movement
0 left, 5 joined in 12 months
net +5 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
- C••• B••••••• H•••••••• from C••••••••• F••••••••Mar 23, 2026 · RIA to a newly registered adviser
- J•••••• T••• K••••• from C••••••••• F••••••••Mar 23, 2026 · RIA to a newly registered adviser
- A••••• F•••••• from C••••••••• F••••••••Mar 23, 2026 · RIA to a newly registered adviser
- K••• J••••• E•••••• from C••••••••• F••••••••Mar 16, 2026 · RIA to a newly registered adviser
- C•••••• A••••• B••• from C••••••••• F••••••••Mar 16, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from C••••••••• F••••••••May 6, 2026 · Columbia, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••••• A••••• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- E••••••• K•••• J••••• · Ceocontrolsince 07/2025 · owns less than 5%
Entity owners
- H••••• T•••••• F•••••••• · Parentdirect · 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 |
|---|---|---|---|---|---|
| Fayette, Mo · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1,388Mar 19, 2026 to Jul 2, 2026
- Charity clients · unset to 17.0Mar 19, 2026 to Jul 2, 2026
- Corporate clients · unset to 6.0Mar 19, 2026 to Jul 2, 2026
- HNW clients · unset to 46.0Mar 19, 2026 to Jul 2, 2026
- Individual clients · unset to 857.0Mar 19, 2026 to Jul 2, 2026
- Pension plan clients · unset to 1.0Mar 19, 2026 to Jul 2, 2026
- Pooled vehicle clients · unset to 0.0Mar 19, 2026 to Jul 2, 2026
- Other offices · 0 to 3Mar 19, 2026 to Jul 2, 2026
- Discretionary RAUM · $0 to $173MMar 19, 2026 to Jul 2, 2026
- HNW RAUM · unset to 98508332.0Mar 19, 2026 to Jul 2, 2026
- Individual RAUM · unset to 89258809.0Mar 19, 2026 to Jul 2, 2026
- Non-discretionary RAUM · $0 to $31.1MMar 19, 2026 to Jul 2, 2026
- Pension RAUM · unset to 6423093.0Mar 19, 2026 to Jul 2, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 19, 2026 to Jul 2, 2026
- RAUM · $0 to $204MMar 19, 2026 to Jul 2, 2026
Signals
1 dated events
- 5 advisors left C••••••••• F•••••••• (Columbia, MO) for C••••••••• T•••• F•••••••• S••••••• on the same dayMay 6, 2026 · Team lift-out · derived
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
- 660-248-2223reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 660-248-2223reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.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
- $40.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026