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•••• A••• M•••••

E••••• J••••national BDMaryland Heights, Modual registrantIAPD 4909950

Feed of 09/14/2026

At current firm

1 y

since Jan 8, 2025

In the industry

20 y

since Aug 15, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Jan 8, 2025 · Maryland Heights, Mo
C•••••• S••••• • C••• I••• national BD
Oct 11, 2011 to Nov 20, 2024 · Phoenix, Az
P•• W••••• M••••••••• BD affiliated
Nov 13, 2009 to Sep 6, 2011 · St. Louis, Mo
N•••••• I••••••••• I••• unclassified
Oct 26, 2009 to Nov 13, 2009 · Clayton, Mo
S•••••• N••••••• • C••••••• I••••••••• national BD
Aug 14, 2008 to Sep 23, 2009 · St. Louis, Mo
U•• F•••••••• S••••••• I••• wirehouse
Jan 18, 2008 to Aug 22, 2008 · Chesterfield, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 14, 2006 to Jan 31, 2008 · Chesterfield, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to E••••• J••••
left Nov 20, 2024, registered Jan 8, 2025 (49 days) · Affiliated broker-dealer or bank to another
P•• W••••• M••••••••• to C•••••• S••••• • C••• I•••
left Sep 6, 2011, registered Oct 11, 2011 (35 days) · Other
N•••••• I••••••••• I••• to P•• W••••• M•••••••••
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
S•••••• N••••••• • C••••••• I••••••••• to N•••••• I••••••••• I•••
left Sep 23, 2009, registered Oct 26, 2009 (33 days) · Other
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 22, 2008, registered Aug 14, 2008 (-8 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Jan 31, 2008, registered Jan 18, 2008 (-13 days) · Other

Signals

S•••• A••• M••••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2025-01-08)
Nov 20, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address