DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
St 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••••• W••••• A•••••••• I••• | No RAUM reported | Feb 12, 2025 | n/a | yes | St Louis, MO | Current employment |
| T• A••••••••• I••• | Former SEC adviser | Feb 27, 2018 | Oct 14, 2022 | no | EDWARDSVILLE, IL|St Louis, MO|Clayton, MO|OMAHA, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | S••••• W••••• A•••••••• I••• | Sep 7, 2023 | Feb 12, 2025 | 524 | Channel change | Other |
| T• A••••••••• I••• | S••••• W••••• A•••••••• I••• | Oct 14, 2022 | Feb 12, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7870:159035:NE:2022-10-14 | Oct 14, 2022 | Feb 12, 2025 | OMAHA, NE | Channel change |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Sep 7, 2023 | no | OMAHA, NE|EDWARDSVILLE, IL|ST. LOUIS, MO|Clayton, MO | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Apr 28, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| A•••• C•••••• M••••••••• I••• | Former SEC adviser | Nov 26, 2007 | Dec 21, 2012 | no | A••••, IL | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 1, 2005 | Nov 29, 2007 | no | A••••, IL|GODFREY, IL|ST. LOUIS, MO|SPRINGFIELD, MA|SPRINGFIELD, MA|ST. LOUIS, MO | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Jun 15, 2000 | Jan 6, 2006 | no | ALPHARETTA , GA | Previous registration |
| 852 |
| Channel change |
| Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| A•••• C•••••• M••••••••• I••• | S•••••••• I••••••••• M••••••••• | Dec 21, 2012 | Apr 28, 2017 | 1,589 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | A•••• C•••••• M••••••••• I••• | Nov 29, 2007 | Nov 26, 2007 | -3 | Firm change | Other |
| M•••••• I••••••••• F••• S••••••• L•• | M•• F•••••••• S•••••••• I••• | Jan 6, 2006 | Dec 1, 2005 | -36 | Bulk transfer | Other |