DFX Intelligence

E•••• M••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

E•••• M••• S••••••••

Advisor at S••••• F••••••••• L••

KIRKWOOD, MO

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Search this name across graphsid dfx:ria:59715d95-eec5-30b5-1638-37c63be41e03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 5, 2014 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 8, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Nov 4, 2024	n/a	yes	KIRKWOOD, MO	Current employment
G•••• C•••••••••	Former SEC adviser	Dec 5, 2019	Mar 29, 2025	no	KIRKWOOD, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••• C•••••••••	S••••• F••••••••• L••	Mar 29, 2025	Nov 4, 2024	-145	Firm change after gap	RIA to ibd
M••••• S••••••	G•••• C•••••••••	Dec 2, 2019	Dec 5, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
145772:299322:MO:2025-03-28	Mar 29, 2025	Nov 4, 2024	KIRKWOOD, MO	Firm change after gap

Relationships

Registered with (4)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Nov 4, 2024 to presentfactForm ADV
→ G•••• C•••••••••Registered adviserregistration: previous registration
Dec 5, 2019 to Mar 29, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
May 19, 2016 to Dec 2, 2019factForm ADV
→ W•••••• • R•••

Dated events

Occurred
Mar 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59715d95-eec5-30b5-1638-37c63be41e03
First observed: Sep 5, 2014
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.