DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••••• I••••••••• A••••••• L••
PHOENIX, AZ | 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 |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | Sep 23, 2025 | n/a | yes | ST.LOUIS, MO|PHOENIX, AZ | Current employment |
| P••••••••• C•••••• A••••••• | Independent wealth | Sep 13, 2021 | Oct 1, 2025 | no | WESTLAKE, OH|St. Louis, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••••• C•••••• A••••••• | F••••••••• I••••••••• A••••••• L•• | Oct 1, 2025 | Sep 23, 2025 | -8 | Firm change | RIA to RIA |
| W•••• F•••• A••••••• | P••••••••• C•••••• A••••••• | Sep 1, 2021 | Sep 13, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 156480:175083:MO:2025-10-01 | Oct 1, 2025 | Sep 23, 2025 | ST LOUIS, MO | Firm change |
| W•••• F•••• A••••••• | Wirehouse | Aug 5, 2019 | Sep 1, 2021 | no | ST. LOUIS, MO | Previous registration |
| C••••• S••••• A•••••••• I••• | Former SEC adviser | Dec 22, 2014 | Jan 4, 2016 | no | ST PETERS, MO|NASHVILLE, TN | Previous registration |
| O••••••• A••••••• A•• F•••••••• S•••••••• L•• | Former SEC adviser | Dec 7, 2012 | Jan 7, 2015 | no | COLUMNIA, IL|ST. PETERS, MO|PETALUMA, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Nov 25, 2008 | Oct 23, 2012 | no | ST. LOUIS, MO | Previous registration |
| E••••• J•••• | National bd RIA | Apr 24, 2007 | Sep 5, 2008 | no | ST LOUIS, MO|ST PETERS, MO | Previous registration |
| 12 |
| Firm change |
| Wirehouse to RIA |
| C••••• S••••• A•••••••• I••• | W•••• F•••• A••••••• | Jan 4, 2016 | Aug 5, 2019 | 1,309 | Firm change after gap | Other |
| O••••••• A••••••• A•• F•••••••• S•••••••• L•• | C••••• S••••• A•••••••• I••• | Jan 7, 2015 | Dec 22, 2014 | -16 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | O••••••• A••••••• A•• F•••••••• S•••••••• L•• | Oct 23, 2012 | Dec 7, 2012 | 45 | Firm change | Other |
| E••••• J•••• | M•• F•••••••• S•••••••• I••• | Sep 5, 2008 | Nov 25, 2008 | 81 | Firm change | Other |