Financial & Tax Architects, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 119169
· SEC file 801-114688
· St. Louis, MO
· www.summitretirementplanning.com
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ADV data as of Jun 18, 2026
- Regulatory AUM
- $506M
- Discretionary
- $506M
- Clients
- 1,574
- Avg AUM / client
- $322K
- Accounts
- 3,736
- Employees
- 71
AUM over time
$82.4M
$506M
Jan 9, 2019
Jun 18, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,416 | $213M | 42.0% |
| High net worth individuals | 149 | $162M | 32.1% |
| Other investment advisers | 9 | $131M | 25.9% |
People (37)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Scott Brooks | Chief Executive Officer | Jul 1999 (27y) | ≈ 42.19% – 100% via Victoriae, Inc. | |
| Gordon Christopher Haave | President And Chief Investment Officer | CFA | Nov 2016 (10y) | Less than 5% |
| Mark Robin Kukielski | Registered representative | Nov 2017 (9y) | ||
| Jason Todd Hill | Registered representative | Aug 2018 (8y) | ||
| Scott M Peterson | Registered representative | Jun 2019 (7y) | ||
| Ronald Mendoza | Registered representative | Jun 2019 (7y) | ||
| Alan Bradley Schmidt | Registered representative | Apr 2020 (6y) | ||
| Michael Brian Wofsey | Registered representative | Sep 2020 (6y) | ||
| Alan Dwayne Johnson | Registered representative | Jun 2021 (5y) | ||
| Paul Albert Stout | Registered representative | Aug 2021 (5y) | ||
| Jason James Smitka | Registered representative | Feb 2022 (4y) | ||
| Erion Kafazi | Registered representative | Jan 2023 (4y) | ||
| Anthony Christopher Gitcho | Registered representative | Jul 2023 (3y) | ||
| Sean Timothy Kenney | Registered representative | Nov 2023 (3y) | ||
| Catherine Soo Loquet | Registered representative | Jan 2024 (3y) | ||
| Mia Kristina Sulak | Registered representative | Jan 2024 (3y) | ||
| Gary R Davis | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Roy Davidson Jones | Registered representative | Sep 2024 (2y) | ||
| Ryan Leigh Hill | Registered representative | Feb 2025 (2y) | ||
| Justin Yoo | Registered representative | Apr 2025 (1y) | ||
| Robert Cain Atkinson | Registered representative | Jun 2025 (1y) | ||
| David Terrance Anderson | Registered representative | Jul 2025 (1y) | ||
| Brett J Heniss | Registered representative | Jul 2025 (1y) | ||
| Donald Gaston | Registered representative | Aug 2025 (1y) | ||
| James M Fox | Registered representative | Aug 2025 (1y) | ||
| Cody Lee Brown | Registered representative | Aug 2025 (1y) | ||
| Andrew Vincent Claus | Registered representative | Sep 2025 (1y) | ||
| Randall Albert Knapp | Registered representative | Oct 2025 (1y) | ||
| Jordan Daniel Blanton | Registered representative | Oct 2025 (1y) | ||
| Brayden Brian Adams | Registered representative | Nov 2025 (1y) | ||
| Cassandra Michelle Sanchez | Registered representative | Dec 2025 (1y) | ||
| Joseph Goh | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Anthony Lee Brown | Registered representative | Dec 2025 (1y) | ||
| Gregory Scott Creel | Registered representative | Jan 2026 (1y) | ||
| Joseph E Horton | Registered representative | Jan 2026 (1y) | ||
| Michael Henrik Kurth | Registered representative | Personal Financial Specialist | Apr 2026 (0y) | |
| Brian Patrick Hoodjer | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Fta Holdings Group, Llc | Member | May 2022 | A | 75% or more |
| Victoriae, Inc. | Member | May 2022 | B | ≈ 56.25% – 100% via Fta Holdings Group, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Scott Brooks: 75% – 100% of Victoriae, Inc. × 75% – 100% of Fta Holdings Group, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Victoriae, Inc.: 75% – 100% of Fta Holdings Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/18/2026 | 1.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $506M (100% of AUM) Jun 2026
- Interactive Brokers $71.1M (26% of AUM) Jan 2023
- E*TRADE (Morgan Stanley) $1.6M (1% of AUM) Aug 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 18, 2026.
View current Form ADV (SEC/IAPD) ↗