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- Custodian
- Charles Schwab & Company · Goldman Sachs · Security Benefit · TD Ameritrade
- Clients
- Retail and Institutional
- Platforms
- PathwayRadial pathway +more
- Established Date
- 07-09-1999
- Office Locations
- 21
Office Locations
About Financial & TAX Architects, LLC
Financial & Tax Architects, LLC is a St. Louis-based RIA focused on clients nearing retirement. The firm delivers goal-based retirement income planning with an emphasis on managing downside risk, alongside long-term care and legacy planning. Its investment work centers on building portfolios aligned to objectives, time horizon, and risk tolerance. A distinctive outreach channel is intensive retirement education classes—live webinars and sessions at colleges/universities—where attendees receive a complimentary, no-obligation retirement plan.
Team overview
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Owner & Executives
DAVID SCOTT BROOKS
Chief Executive Officer
- CRD
- #1920936
- Ownership
- Less than 5%
PAUL WERNER FELSCH
Chief Compliance Officer, COUNSEL, LEGAL COUNSEL
- CRD
- #5811362
- Ownership
- Less than 5%
Focus oak
Harbor ember
- CRD
- #79510
- Ownership
- 15.1%
Showing 2 of 3 owners & executives
Unlock allContacts
Brayden Brian Adams
--
- CRD
- #8149214
David Terrance Anderson
--
- CRD
- #6617563
Signal catalyst
Fusion catalyst
- CRD
- #77081
Showing 2 of 38 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $506,245,828 | $135,505 |
| Non-Discretionary | $0 | -- |
| Total | $506,245,828 | $135,505 |
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Separately Managed Accounts
Total SMA Asset: $506,245,828
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | $1,386,136,990 | 21.7% |
| Equity - Exchange | $2,944,742,638 | 46.1% |
| Cash | $2,056,848,437 | 32.2% |
| Total | $6,387,728,065 | 100.0% |
13F Holdings | Q1 2026
| Issuer | Class | Cusip | Ticker | % | Value |
|---|---|---|---|---|---|
| VECTOR ZENITH ALPHA | HORIZON VERTEX | B1UJOYJ4J | PDT | 9.40% | $2,048,080 |
| EMBER VERTEX | PIONEER HARBOR | ZEHKSY6GT | ALLWM | 8.12% | $102,577,882 |
| PRIME UNISON PIONEER | FOUNDATION PATHWAY | DSX5B59OM | IVF | 2.62% | $13,799,639 |
| TIMBER WAVE PEAK | RADIAL DELTA | 92MIV0QEJ | QJMY | 8.51% | $97,291,409 |
| ELEMENT GLACIER PATHWAY | ELEMENT QUANTUM | G2VPYKQF6 | VRBU | 7.85% | $59,493,635 |
| PEAK PEAK PATHWAY | PIONEER SIGNAL | RF3FA45GW | LZWX | 2.26% | $8,568,613 |
| FOCUS FOUNDATION ELEMENT | INSIGHT CAPITAL | VTIZ23OQQ | LRPAF | 8.42% | $81,914,320 |
| NORTH EMBER | EMBER OAK | 9X0KWPELA | BSVM | 11.87% | $28,940,128 |