DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Arnold, MO | Eureka, 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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 30, 2025 | n/a | yes | Eureka, MO|Eureka, MO|Arnold, MO | Current employment |
| R•• S••••••••• I••• | Bd affiliated wealth | Jun 17, 2020 | Nov 19, 2021 | no | Los Angeles, CA|Minneapolis, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• S••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Nov 19, 2021 | Jun 30, 2025 | 1,319 | Firm change after gap | RIA to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | R•• S••••••••• I••• | Apr 28, 2015 | Apr 29, 2015 |
| R•• S••••••••• I••• | Bd affiliated wealth | Apr 29, 2015 | Jul 23, 2018 | no | Walnut Creek, CA|SAN FRANCISCO, CA|WALNUT CREEK, CA|LOS ANGELES, CA|LOS ANGELES, CA|Minneapolis, MN | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 3, 2010 | Apr 28, 2015 | no | WALNUT CREEK, CA | Previous registration |
| D••••••• B••• S••••••••• I••• | No RAUM reported | Aug 5, 2008 | Aug 30, 2010 | no | SAN FRANCISCO, CA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Apr 7, 2004 | Nov 15, 2006 | no | WALNUT CREEK, CA|WALNUT CREEK, CA|WALNUT CREEK, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Mar 1, 2002 | Sep 9, 2002 | no | PLEASANTON, CA | Previous registration |
| 1 |
| Firm change |
| Other |
| D••••••• B••• S••••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Aug 30, 2010 | Nov 3, 2010 | 65 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | D••••••• B••• S••••••••• I••• | Nov 15, 2006 | Aug 5, 2008 | 629 | Firm change after gap | Other |
| C•••••• S••••• • C••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Sep 9, 2002 | Apr 7, 2004 | 576 | Firm change after gap | Other |