DFX Intelligence

B•••• D•••• W•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)35 years in industry

B•••• D•••• W•••

Advisor at P••••••• F•••••••• S•••••••• I•••

BALLWIN, MO

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Search this name across graphsid dfx:ria:87f58e6c-6fba-7720-5f2c-305f936f7ea2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2001 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: P••••••• F•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 30, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	May 16, 2025	n/a	yes	BALLWIN, MO	Current employment
C••••• • C••••••• I•••	Former SEC adviser	May 6, 2021	May 16, 2025	no	BALLWIN, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• • C••••••• I•••	P••••••• F•••••••• S•••••••• I•••	May 16, 2025	May 16, 2025	0	Bulk transfer	RIA to ibd
M•• I•••••••• S•••••••• L••	C••••• • C••••••• I•••	Apr 22, 2021	May 6, 2021

Relationships

Registered with (6)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
May 16, 2025 to presentfactForm ADV
→ C••••• • C••••••• I•••Registered adviserregistration: previous registration
May 6, 2021 to May 16, 2025factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Apr 22, 2021factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87f58e6c-6fba-7720-5f2c-305f936f7ea2
First observed: Jan 1, 2001
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.