DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• A••••••• L••
SAINT CHARLES, 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•••• A••••••• L•• | Independent wealth | Oct 29, 2024 | n/a | yes | SAINT CHARLES, MO | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jun 18, 2012 | Jul 16, 2025 | no | SAINT CHARLES, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | A•••• A••••••• L•• | Jul 16, 2025 | Oct 29, 2024 | -260 | Firm change after gap | Other |
| S••••• F•••••••• S•••••••• I••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Jun 19, 2012 | Jun 18, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134139:330006:MO:2025-07-14 | Jul 16, 2025 | Oct 29, 2024 | SAINT CHARLES, MO | Firm change after gap |
| S••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 31, 2011 | Jun 19, 2012 | no | ST CHARLES, MO | Previous registration |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | May 3, 2010 | Nov 17, 2011 | no | ST CHARLES, MO | Previous registration |
| R••••••••• F•••••••• C•••••••• E•••••••• L•• | n/a | Apr 6, 2005 | Dec 31, 2007 | no | ST. LOUIS, MO | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 5, 2002 | May 4, 2010 | no | ST. LOUIS, MO|ST. LOUIS, MO | Previous registration |
| -1 |
| Firm change |
| Other |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | S••••• F•••••••• S•••••••• I••• | Nov 17, 2011 | Oct 31, 2011 | -17 | Firm change | Other |
| S••••••• F•••••••• S•••••••• I••• | R••••••••• F•••••••• C•••••••• E•••••••• L•• | May 4, 2010 | Apr 6, 2005 | -1,854 | Firm change after gap | Other |
| R••••••••• F•••••••• C•••••••• E•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Dec 31, 2007 | May 3, 2010 | 854 | Firm change after gap | Other |