DFX Intelligence

Data Factory

L••• S••••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor32 years in industry

L••• S••••••• G••••

Advisor at S•••••••• I•••••••••

ST. LOUIS, MO | BRYN MAWR, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:993b665c-0a03-0e66-2eec-f0cc09fafd55

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2000 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•••••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom 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
S•••••••• I•••••••••	Independent wealth	Jan 11, 2019	n/a	yes	BRYN MAWR, PA\|ST. LOUIS, MO	Current employment
C••••• S••••• S••••••••• •••• L••	Former SEC adviser	Jan 17, 2003	Oct 6, 2003	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
C••••• S••••• S••••••••• •••• L••	S•••••••• I•••••••••	Oct 6, 2003	Jan 11, 2019	5,576	Firm change after gap	Other
P••••••• L••	C••••• S••••• S••••••••• •••• L••	Jan 17, 2003

Relationships

Registered with (3)

→ S•••••••• I•••••••••Registered adviserregistration: current employment
Jan 11, 2019 to presentfactForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Jan 17, 2003 to Oct 6, 2003factForm ADV
→ P••••••• L••Registered adviserregistration: previous registration
Mar 3, 2000 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:993b665c-0a03-0e66-2eec-f0cc09fafd55
First observed: Mar 3, 2000
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.