DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• C•••••• M••••••••• L••
SAINT 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 |
|---|---|---|---|---|---|---|
| S••••• C•••••• M••••••••• L•• | Independent wealth | Mar 20, 2025 | n/a | yes | SAINT LOUIS, MO | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Mar 21, 2024 | Apr 2, 2025 | no | SAINT LOUIS, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | S••••• C•••••• M••••••••• L•• | Apr 2, 2025 | Mar 20, 2025 | -13 | Firm change | Ibd to RIA |
| C••••• A••••••• L•• | C••••• I••••••••• A••••••• L•• | Mar 21, 2024 | Mar 21, 2024 |
| C••••• A••••••• L•• | Former SEC adviser | Mar 11, 2019 | Mar 21, 2024 | no | SAINT LOUIS, MO|ST. PETERS, MO | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jan 4, 2016 | May 13, 2019 | no | Chesterfield, MO | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| F•••• A••••• A••••••• S•••••••• I••• | C••••• A••••••• L•• | May 13, 2019 | Mar 11, 2019 | -63 | Channel change | Ibd to ibd |