DFX Intelligence
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Reading the graph
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Advisor at W•••• F•••• A•••••••
ST. LOUIS, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | May 1, 2023 | n/a | yes | ST. LOUIS, MO | Current employment |
| F••• C•••••• M••••••••• | Independent wealth | Aug 26, 2021 | May 19, 2022 | no | ST CHARLES, MO|ST. CHARLES, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••• C•••••• M••••••••• | W•••• F•••• A••••••• | May 19, 2022 | May 1, 2023 | 347 | Firm change | RIA to wirehouse |
| C••••• • A••••••••• I••• | F••• C•••••• M••••••••• | Aug 25, 2021 | Aug 26, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 20999:315100:MO:2021-08-25 | Aug 25, 2021 | Aug 26, 2021 | SAINT CHARLES, MO | Firm change |
| 14503:20999:IL:2016-07-08 | Jul 12, 2016 | Jul 12, 2016 | WORDEN, IL | Firm change |
| C••••• • A••••••••• I••• | Independent wealth | Jul 12, 2016 | Aug 25, 2021 | no | Saint Charles, MO | Previous registration |
| V•• A••••••• S••••••• | Former SEC adviser | Jan 23, 2009 | Jul 12, 2016 | no | OVERLAND PARK, KS|SAINT CHARLES, MO|WORDEN, IL | Previous registration |
| 1 |
| Firm change |
| RIA to new firm |
| V•• A••••••• S••••••• | C••••• • A••••••••• I••• | Jul 12, 2016 | Jul 12, 2016 | 0 | Firm change | Other |