DFX Intelligence
Reading the graph
Reading the graph
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.
Advisor at A••••••• S••••••• N••••••
••• Locked
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••••••• S••••••• N•••••• | Independent wealth | Jan 20, 2026 | n/a | yes | St. Louis, MO|Atlanta, GA|ATLANTA, GA | Current employment |
| D•••••••• C•••••• M••••••••• L•• | Independent wealth | Mar 7, 2019 | Mar 4, 2026 | no | EVANSVILLE, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••••• C•••••• M••••••••• L•• | A••••••• S••••••• N•••••• | Mar 4, 2026 | Jan 20, 2026 | -43 | Firm change after gap | RIA to RIA |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 23, 2018 | Mar 26, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7870:111514:VA:2018-10-15 | Oct 23, 2018 | Mar 26, 2018 | VIENNA, VA | Firm change after gap |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Mar 26, 2018 | Oct 23, 2018 | no | VIENNA, VA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 24, 2018 | Oct 23, 2018 | no | EAU CLAIRE, WI|VIENNA, VA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jul 1, 2017 | Mar 24, 2018 | no | SAINT LOUIS, MO | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 18, 2004 | Oct 11, 2004 | no | LADUE, MO | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 11, 2002 | Jun 23, 2004 | no | CREVE COEUR, MO | Previous registration |
| -211 |
| Channel change |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | D•••••••• C•••••• M••••••••• L•• | Oct 23, 2018 | Mar 7, 2019 | 135 | Firm change | RIA to RIA |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••• | Mar 24, 2018 | Mar 24, 2018 | 0 | Channel change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• I••••••••• M••••••••• | Oct 11, 2004 | Jul 1, 2017 | 4,646 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jun 23, 2004 | Jun 18, 2004 | -5 | Firm change | Ibd to wirehouse |