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

S••••• J•••••• T•••••

W•••• F•••• A•••••••wirehouseJoplin, Mo dual registrantIAPD 2323345

Feed of 09/15/2026

Also filed as S••••• J•••••• T•••••

At current firm

1 y

since Aug 6, 2025

In the industry

32 y

since Jul 22, 1994 (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

W•••• F•••• A••••••• wirehouse current
since Aug 6, 2025 · Rogers, Ar
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Mar 7, 2022 to Jul 21, 2025 · The Woodlands, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 25, 2021 to Nov 24, 2021 · St. Louis, Mo
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Mar 4, 2020 · Boston, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 5, 2009 to Oct 23, 2009 · Chesterfield, Mo
B••• A•••••••• L•• former
Feb 14, 2005 to Dec 31, 2008 · St Louis, Mo
B•••• D••••••••• L•• unclassified
Jan 1, 2003 to Feb 25, 2005 · St Louis, Mo
S••••••• BD affiliated
Dec 31, 2001 to Jan 1, 2003 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••
left Jul 21, 2025, registered Aug 6, 2025 (16 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 4, 2020, registered May 25, 2021 (447 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 31, 2008, registered Jan 5, 2009 (5 days) · Other
B•••• D••••••••• L•• to B••• A•••••••• L••
left Feb 25, 2005, registered Feb 14, 2005 (-11 days) · Other
S••••••• to B•••• D••••••••• L••
left Jan 1, 2003, registered Jan 1, 2003 (0 days) · Other

Signals

S••••• J•••••• T••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2025-08-06)
Jul 21, 2025 · 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address