DFX Intelligence
RIA Intelligence
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Registered advisor
L•••• E••• W•••
Feed of 09/15/2026
At current firm
9 y
since Mar 13, 2017
In the industry
19 y
since Jun 5, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 27, 2025 · Lake St Louis, Mo
- C••••••••• W••••• M••••••••• L•• independent RIA currentsince Mar 13, 2017 · Lake St L••••, Mo
- E••••• J•••• national BDJun 7, 2007 to Nov 7, 2007 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• W••••• M••••••••• L••left Nov 7, 2007, registered Mar 13, 2017 (3414 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address