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

B•••• R•••••• S••••••••

S•••••••• W••••• M••••••••• L••formerArnold, Modual registrantIAPD 2430902

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as B•••• R•••••• S••••••••

At current firm

3 y

since Nov 28, 2022

In the industry

32 y

since Mar 3, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• W••••• M••••••••• L•• former current
since Nov 28, 2022 · Arnold, Mo
A• W••••• M••••••••• L•• BD affiliated
Jul 30, 2022 to Jan 24, 2023 · Topeka, Ks
K•••• M••••••••• former
Jul 7, 2017 to Aug 1, 2022 · Ponte Vedra Beach, Fl
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Oct 23, 2007 to Jul 10, 2017 · Crystal City, Mo
A••••••• G•••••• S••••••••• I••••••••• unclassified
Oct 23, 2003 to Oct 23, 2007 · Festus, Mo

Moves

a registration end followed by a registration begin elsewhere

A• W••••• M••••••••• L•• to S•••••••• W••••• M••••••••• L••
left Jan 24, 2023, registered Nov 28, 2022 (-57 days) · Affiliated broker-dealer or bank to a newly registered adviser
K•••• M••••••••• to A• W••••• M••••••••• L••
left Aug 1, 2022, registered Jul 30, 2022 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to K•••• M•••••••••
left Jul 10, 2017, registered Jul 7, 2017 (-3 days) · Other · moved with a team
A••••••• G•••••• S••••••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Oct 23, 2007, registered Oct 23, 2007 (0 days) · Other

Signals

B•••• R•••••• S•••••••• left A• W••••• M••••••••• L•• for S•••••••• W••••• M••••••••• L•• (registered 2022-11-28)
Jan 24, 2023 · Advisor changed firm · fact
B•••• R•••••• S•••••••• left K•••• M••••••••• for A• W••••• M••••••••• L•• (registered 2022-07-30)
Aug 1, 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: Former SEC-registered adviserderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address