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

R••• M•••••• L•••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 3176198

Feed of 09/15/2026

At current firm

0 y

since Jul 7, 2026

In the industry

24 y

since May 1, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jul 7, 2026 · Arnold, Mo
A••••••• S•••••••• G•••• independent RIA current
since Jul 7, 2026 · Arnold, Mo
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 11, 2024 to Nov 28, 2025 · Arnold, Mo
C•••••• G•••• • C• I•• former
Jul 12, 2023 to May 28, 2024 · Syracuse, Ny
P••••••• F•••••••• S•••••••• I••• BD affiliated
Aug 2, 2022 to Apr 24, 2023 · Dallas, Tx
S•••••• N••••••• • C••••••• I••••••••• national BD
Oct 12, 2021 to Jun 1, 2022 · St. Louis, Mo
S••••••• F•••••••• S•••••••• I••• former
Jul 2, 2021 to Sep 22, 2021 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
May 23, 2018 to Apr 7, 2020 · St. Louis, Mo
T• A••••••••• I••• former
May 11, 2018 to May 22, 2018 · St Louis, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
May 11, 2018 to May 22, 2018 · St Louis, Mo
E••••• J•••• national BD
Aug 10, 2015 to May 30, 2018 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Nov 28, 2025, registered Jul 7, 2026 (221 days) · Affiliated broker-dealer or bank to another
C•••••• G•••• • C• I•• to C••••• I••••••••• A••••••• L••
left May 28, 2024, registered Jun 11, 2024 (14 days) · Affiliated broker-dealer or bank to another
P••••••• F•••••••• S•••••••• I••• to C•••••• G•••• • C• I••
left Apr 24, 2023, registered Jul 12, 2023 (79 days) · RIA to affiliated broker-dealer or bank
S•••••• N••••••• • C••••••• I••••••••• to P••••••• F•••••••• S•••••••• I•••
left Jun 1, 2022, registered Aug 2, 2022 (62 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• F•••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Sep 22, 2021, registered Oct 12, 2021 (20 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S••••••• F•••••••• S•••••••• I•••
left Apr 7, 2020, registered Jul 2, 2021 (451 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••
left May 30, 2018, registered May 11, 2018 (-19 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 22, 2018, registered May 11, 2018 (-11 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 22, 2018, registered May 11, 2018 (-11 days) · Other

Signals

R••• M•••••• L••• left C••••• I••••••••• A••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-07-07)
Nov 28, 2025 · Advisor changed firm · fact
R••• M•••••• L••• left C•••••• G•••• • C• I•• for C••••• I••••••••• A••••••• L•• (registered 2024-06-11)
May 28, 2024 · Advisor changed firm · fact
R••• M•••••• L••• left P••••••• F•••••••• S•••••••• I••• for C•••••• G•••• • C• I•• (registered 2023-07-12)
Apr 24, 2023 · Advisor changed firm · fact
R••• M•••••• L••• left S•••••• N••••••• • C••••••• I••••••••• for P••••••• F•••••••• S•••••••• I••• (registered 2022-08-02)
Jun 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address