DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

D•••• A••••• F••••••••

C••••••••• F•••••••• N••••••national BDChesterfield, Modual registrantIAPD 2206103

Feed of 09/14/2026

At current firm

2 y

since Jul 26, 2024

In the industry

33 y

since Oct 6, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Jul 26, 2024 · Chesterfield, Mo
O•••• W•••••• I••• BD affiliated
Jan 26, 2011 to Jul 25, 2024 · Chesterfield, Mo
F•••••••• L••••• A••••••••• former
Jan 5, 2004 to Dec 22, 2022 · Chesterfield, Mo
P•••• F•••••••• G••••• I••• unclassified
Nov 7, 2000 to Apr 30, 2003 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left Jul 25, 2024, registered Jul 26, 2024 (1 days) · Affiliated broker-dealer or bank to another
F•••••••• L••••• A••••••••• to O•••• W•••••• I•••
left Dec 22, 2022, registered Jan 26, 2011 (-4348 days) · Other
P•••• F•••••••• G••••• I••• to F•••••••• L••••• A•••••••••
left Apr 30, 2003, registered Jan 5, 2004 (250 days) · Other

Signals

D•••• A••••• F•••••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-07-26)
Jul 25, 2024 · Advisor changed firm · fact
D•••• A••••• F•••••••• left F•••••••• L••••• A••••••••• for O•••• W•••••• I••• (registered 2011-01-26)
Dec 22, 2022 · 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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address