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••••• O••••• C••••

C••••••••• F•••••••• N••••••national BDCape Girardeau, Mo dual registrantIAPD 2306860

Feed of 09/15/2026

At current firm

2 y

since Jun 11, 2024

In the industry

33 y

since Mar 8, 1993 (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 Jun 11, 2024 · Cape Girardeau, Mo
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 12, 2020 to Jun 13, 2024 · Cape Girardeau, Mo
F•••• A••••• A••••••• S•••••••• I••• former
Feb 20, 2015 to Nov 12, 2020 · Cape Girardeau, Mo
L•• F•••••••• L•• BD affiliated
Jun 30, 2004 to Mar 2, 2015 · Cape Girardeau, Mo
S••••••• W••••• • R••••••••• unclassified
Jan 1, 1999 to Aug 26, 2004 · Tucson, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left Jun 13, 2024, registered Jun 11, 2024 (-2 days) · Affiliated broker-dealer or bank to another
F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••
left Mar 2, 2015, registered Feb 20, 2015 (-10 days) · Other
S••••••• W••••• • R••••••••• to L•• F•••••••• L••
left Aug 26, 2004, registered Jun 30, 2004 (-57 days) · Other

Signals

D••••• O••••• C•••• left C••••• I••••••••• A••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-06-11)
Jun 13, 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: 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