DFX Intelligence
RIA Intelligence
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.
Feed of 09/14/2026
At current firm
1 y
since Nov 26, 2024
In the industry
28 y
since Jun 26, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Nov 26, 2024 · Clayton, Mo
- W•••• F•••• A••••••• wirehouseApr 25, 2013 to Nov 27, 2024 · St. Louis, Mo
- C•••• I••••••••• S••••••• C•••• formerJun 18, 2010 to Dec 13, 2011 · Columbus, Oh
- O••••••••• S••••••••• I••• BD affiliatedAug 2, 2004 to Nov 8, 2006 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDMar 5, 2003 to Jul 27, 2004 · In
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to ••••••••left Nov 27, 2024, registered Nov 26, 2024 (-1 days) · Wirehouse to independent RIA
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Dec 13, 2011, registered Apr 25, 2013 (499 days) · Other
- O••••••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 8, 2006, registered Jun 18, 2010 (1318 days) · Other
- C•••••• S••••• • C••• I••• to O••••••••• S••••••••• I•••left Jul 27, 2004, registered Aug 2, 2004 (6 days) · Other
Signals
- C••••••••• R••• left W•••• F•••• A••••••• for &Partners (registered 2024-11-26)Nov 27, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address