DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••• W•••••• I•••
ST. L••••, 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•••••• W•••••• I••• | Independent wealth | Jul 16, 2018 | n/a | yes | ST. L••••, MO | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 20, 2016 | Jul 12, 2018 | no | ST. L••••, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | F•••••• W•••••• I••• | Jul 12, 2018 | Jul 16, 2018 | 4 | Firm change | Ibd to RIA |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 20, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283330:297433:MO:2018-07-12 | Jul 12, 2018 | Jul 16, 2018 | ST L••••, MO | Firm change |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Aug 31, 2005 | Sep 22, 2016 | no | ST. L••••, MO|ST. L••••, MO | Previous registration |
| F•••••••• R•••••••• O• S•• L••••• I••• | n/a | Oct 31, 1995 | Dec 13, 2005 | no | ST. L••••, MO | Previous registration |
| -155 |
| Bulk transfer |
| Other |
| F•••••••• R•••••••• O• S•• L••••• I••• | N•• A•••••• S•••••••• L•• | Dec 13, 2005 | Aug 31, 2005 | -104 | Firm change after gap | Other |