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

L••••••• D••••• G••••••

W•••• F•••• A•••••••wirehouseSt. Louis, Mo dual registrantIAPD 2480819

Feed of 09/15/2026

Also filed as L••••••• D••••• G••••••

At current firm

0 y

since Jan 8, 2026

In the industry

28 y

since Aug 27, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 May 20, 2026 · Birmingham, Al
W•••• F•••• A••••••• wirehouse current
since Jan 8, 2026 · St. Louis, Mo
C••••• F••••••••• I••••••••• A••••••• mixed wealth
Apr 13, 2023 to Dec 17, 2025 · Homewood, Al
B•••••••• I••••••••• M••••••••• L•• asset manager
Sep 29, 2006 to Jan 18, 2023 · Plainsboro, Nj
M•••••• L•••• I••••••••• M••••••• L• unclassified
Feb 7, 2003 to Sep 29, 2006 · Avondale Estates, Ga

Moves

a registration end followed by a registration begin elsewhere

C••••• F••••••••• I••••••••• A••••••• to W•••• F•••• A•••••••
left Dec 17, 2025, registered Jan 8, 2026 (22 days) · RIA to wirehouse
B•••••••• I••••••••• M••••••••• L•• to C••••• F••••••••• I••••••••• A•••••••
left Jan 18, 2023, registered Apr 13, 2023 (85 days) · Other
M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••
left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move

Signals

L••••••• D••••• G•••••• left C••••• F••••••••• I••••••••• A••••••• for W•••• F•••• A••••••• (registered 2026-01-08)
Dec 17, 2025 · Advisor changed firm · fact
L••••••• D••••• G•••••• left B•••••••• I••••••••• M••••••••• L•• for C••••• F••••••••• I••••••••• A••••••• (registered 2023-04-13)
Jan 18, 2023 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address