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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

A••••• S•••• M•••••••••

Advisor at C••••• I••••••••• A••••••• L••

ST LOUIS, MO | WILLISTON, TN

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Search this name across graphsid dfx:ria:5e62ec77-7316-b6b5-7ec5-0239927e6708

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 7, 2003 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 26, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WILLISTON, TN\|ST LOUIS, MO	Current employment
P•••••••• F•••••••• L••	n/a	Nov 6, 2009	May 14, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• F•••••••• L••	C••••• I••••••••• A••••••• L••	May 14, 2025	Jun 29, 2023	-685	Firm change after gap	Other
W••••• S••••• S••••••••• I•••	P•••••••• F•••••••• L••	Sep 5, 2013

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ P•••••••• F•••••••• L••Registered adviserregistration: previous registration
Nov 6, 2009 to May 14, 2025factForm ADV
→ W••••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 15, 2007 to Sep 5, 2013factForm ADV

Dated events

Occurred
May 14, 2025
Advisor changed firm
A••••• S•••• M••••••••• left P•••••••• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e62ec77-7316-b6b5-7ec5-0239927e6708
First observed: Jul 7, 2003
Last observed: Sep 14, 2026 8 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.