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
M•••••• S••••••••• C••• I•••
Latest filing Mar 29, 2016
First filing on the tape Feb 23, 2012 · 14 filings
RAUM
$258M
reported, Item 5.F
Discretionary
89%
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
58
34 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$258M as of Mar 29, 2016
Feb 23, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)34 as of Mar 29, 2016
Feb 23, 20120 then
Employees (5.A)58 as of Mar 29, 2016
Apr 1, 201332 then
Private funds: no history
RAUM +8.8% over the last fiscal year+23% a year over threeIARs 34 to 34
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
- RAUM per advisor
- $7.6MderivedRAUM 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
- $229,196derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived22 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,124reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
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
- S••••• K••• M••••• to V•••••••• W••••• A•••••••• L••Sep 2, 2015 · Other
- S••••• Y••• P••••••• to C•••••• S••••• • C••• I•••Nov 4, 2014 · Other
- D•••••• F•••••• C••••• to N•••••• F•••••••• G••••• I•••Mar 15, 2013 · Other
- W••••••• R••• M•••••• to A••••• F•••••••• P•••••••• I•••Jul 23, 2012 · Other
- G•••••• W••• G••••• to F•••• B•••••••• A••••••• L•••••Mar 2, 2012 · Other
- M•••••• G• C••••••• to J••• M••••• S••••••••• I•••Aug 8, 2008 · Other
- W•••••• J••••• L•••••• to U•• F•••••••• S••••••••• L••Dec 4, 2006 · Other
Joined, latest
- K••• E•••• P••••••• L••••••••• from L••••••••• F•••••••• S•••••••• I•••Feb 5, 2016 · Other
- S•••• E•••••••• L••••• A••••• from R•• C•••••• M••••••• L••Jan 29, 2016 · Other
- R•••••• E• D••••• from R•• C•••••• M••••••• L••Jan 29, 2016 · Other
- S•••• A•••• H••• from R•• C•••••• M••••••• L••Jan 29, 2016 · Other
- R•• G•••• R•••••• from Q•••••• A•••• M••••••••• I•••Jan 4, 2016 · Other
- G•••• H•••••• C••• from J• P• T••••• • C•••••• C•••••• M••••••••• L••Sep 18, 2015 · Other
- J•••• E••••• N••••• from M•••••••• V••••• I••••••••• A••••••• L••Mar 31, 2014 · Other
- P•••••• I•••• H••••• from M•••••••• V••••• I••••••••• A••••••• L••Mar 28, 2014 · Other
- S••••• K••• M••••• from U•• F•••••••• S••••••• I•••Feb 12, 2014 · Other
- W•••••• M•••••• L•••••• from M•••• C••••••• A••••••• S••••••Dec 6, 2013 · Other
- E••• A•••••••• D••••• from E•••••• A••••••• S•••••••• I•••Feb 20, 2013 · Other
- C•••••• W•••••• H••• from S•••• M•••• • C••Dec 13, 2012 · Other
- D•••• F•••••• L••••••• from E•••• O•• I••••••••• L••Aug 2, 2012 · Other
- D•••••• F•••••• C••••• from N•••••• F•••••••• G••••• I•••Apr 3, 2012 · Other
- J•••••• A•••• M••••• from E•••• O•• I••••••••• L••Mar 16, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 19 left for M•••••• S••••••••• A•••• M••••••••• L••Apr 13, 2016 · Manchester, Mo · Firm absorbed
- 3 joined from R•• C•••••• M••••••• L••Feb 19, 2016 · Bellingham, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• D••••• R•••• · Chief Executive Officer,Chief Financial Officer, Chairmancontrolsince 01/2014 · owns less than 5%
- K•••• K•••••• K•••• · Directorcontrolsince 01/1998 · owns less than 5%
- M•••••• J••••• R••••• J• · Investor/Directorcontrolsince 12/2015 · owns less than 5%
- M••••••• E••••• J••• J• · President & Chief Operating Officer/Directorcontrolsince 12/2010 · owns less than 5%
- W•••••• R••• M••••• · Vice President/Director Of Operations/Directorcontrolsince 12/2013 · owns less than 5%
- W•••••••• C••••••• A••• · Chief Compliance Officer & Counselcontrolsince 07/2015 · owns less than 5%
- M••••••• S•••• R••• · Investorcontrolsince 07/2014 · owns 50% to 75% of E.J. M•••••• Marital Trust U/A/D 9/21/2011
Entity owners
- B•••• G•••• H•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Columbia, MO
- Cottleville, MO
- Denver, CO
- Englewood, FL
- Espero, FL
- Estes Park, CO
- Gig Harbor, WA
- Kansas City, MO
- Kerrville, TX
- Mount Prospect, IL
- Northbrook, IL
- Post Falls, ID
- Redwood Falls, MN
- Richmond, VA
- Stillwater, MN
- Willmar, MN
- Winterset, IA
- ,
What changed
consecutive filings, newest first
- Accounts · 1,037 to 1,124Sep 16, 2015 to Mar 29, 2016
- Discretionary RAUM · $204M to $229MSep 16, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $32.5M to $28.4MSep 16, 2015 to Mar 29, 2016
- RAUM · $237M to $258MSep 16, 2015 to Mar 29, 2016
- Accounts · 963 to 1,037Nov 10, 2014 to Mar 31, 2015
- Advisory employees · 36 to 34Nov 10, 2014 to Mar 31, 2015
- Advisory activities · 4 to 5Nov 10, 2014 to Mar 31, 2015
- BD registered reps · 36 to 43Nov 10, 2014 to Mar 31, 2015
- Employees · 36 to 58Nov 10, 2014 to Mar 31, 2015
- Financial planning clients · unset to 1-10Nov 10, 2014 to Mar 31, 2015
- State-registered IARs · 36 to 34Nov 10, 2014 to Mar 31, 2015
- Discretionary RAUM · $170M to $204MNov 10, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $32.3M to $32.5MNov 10, 2014 to Mar 31, 2015
- RAUM · $202M to $237MNov 10, 2014 to Mar 31, 2015
- Accounts · 803 to 963Apr 1, 2013 to Mar 31, 2014
- Advisory employees · 32 to 36Apr 1, 2013 to Mar 31, 2014
- BD registered reps · 32 to 36Apr 1, 2013 to Mar 31, 2014
- Employees · 32 to 36Apr 1, 2013 to Mar 31, 2014
- State-registered IARs · 32 to 36Apr 1, 2013 to Mar 31, 2014
- Discretionary RAUM · $105M to $170MApr 1, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $34.1M to $32.3MApr 1, 2013 to Mar 31, 2014
- RAUM · $139M to $202MApr 1, 2013 to Mar 31, 2014
- Accounts · 639 to 803Feb 20, 2013 to Apr 1, 2013
- Advisory employees · 23 to 32Feb 20, 2013 to Apr 1, 2013
- Advisory activities · 3 to 4Feb 20, 2013 to Apr 1, 2013
- BD registered reps · 23 to 32Feb 20, 2013 to Apr 1, 2013
- Employees · 23 to 32Feb 20, 2013 to Apr 1, 2013
- Financial planning clients · 0 to unsetFeb 20, 2013 to Apr 1, 2013
- State-registered IARs · 23 to 32Feb 20, 2013 to Apr 1, 2013
- Discretionary RAUM · $73.8M to $105MFeb 20, 2013 to Apr 1, 2013
- Non-discretionary RAUM · $27.6M to $34.1MFeb 20, 2013 to Apr 1, 2013
- RAUM · $101M to $139MFeb 20, 2013 to Apr 1, 2013
- Related adviser · true to falseFeb 20, 2013 to Apr 1, 2013
- Related insurance company · true to falseFeb 20, 2013 to Apr 1, 2013
- Advisory employees · unset to 23.0Aug 2, 2012 to Feb 20, 2013
- BD registered reps · unset to 23.0Aug 2, 2012 to Feb 20, 2013
- Employees · unset to 23.0Aug 2, 2012 to Feb 20, 2013
- State-registered IARs · 0 to 23Aug 2, 2012 to Feb 20, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M•••••• S••••••••• C••• I••• · Independent Sponsorsshared crd · intermediary
- M•••••• S••••••••• C••• I••• · Venture Capitalshared crd · org
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026