DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• C•••••• M••••••••• L••
SAINT LOUIS, MO | Minnetrista, MN
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 | Jan 3, 2025 | n/a | yes | SAINT LOUIS, MO|Minnetrista, MN | Current employment |
| S••••• C•••••• M••••••••• L•• | Independent wealth | Jan 7, 2022 | Dec 31, 2024 | no | SAINT LOUIS, MO|Eden Prairie, MN|Minnetrista, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• I••••••••• M••••••••• I••• | S••••• C•••••• M••••••••• L•• | Sep 7, 2021 | Jan 7, 2022 | 122 | Firm change | Other |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | M••••• S•••••• I••••••••• M••••••••• I••• | Oct 9, 2014 | Oct 21, 2014 |
| M••••• S•••••• I••••••••• M••••••••• I••• | Asset manager | Oct 21, 2014 | Sep 7, 2021 | no | MINNETONKA, MN|NEW YORK, NY|EDEN PRAIRIE, MN | Previous registration |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Former SEC adviser | Apr 20, 2006 | Oct 9, 2014 | no | BOSTON, MA | Previous registration |
| A••••• A•••• M••••••••• U•• I••• | Former SEC adviser | Nov 4, 2004 | Apr 20, 2006 | no | BOSTON, MA | Previous registration |
| 12 |
| Firm change |
| Other |
| A••••• A•••• M••••••••• U•• I••• | A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Apr 20, 2006 | Apr 20, 2006 | 0 | Bulk transfer | Other |