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.
Feed of 09/14/2026
Also filed as Marvin Mitchell
At current firm
10 y
since Feb 22, 2016
In the industry
19 y
since Jun 22, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Compass Wealth independent RIA currentsince Feb 22, 2016 · St. Louis, Mo
- On Investment Management Co BD affiliatedMay 22, 2013 to Dec 16, 2015 · St. Louis, Mo
- Cornerstone Wealth Management, LLC independent RIAAug 27, 2012 to May 22, 2013 · Des Peres, Mo
- LPL Financial LLC BD affiliatedJan 3, 2012 to Mar 27, 2013 · St. Peters, Mo
- Edward Jones national BDJul 10, 2007 to Dec 23, 2011 · Hazelwood, Mo
Moves
a registration end followed by a registration begin elsewhere
- On Investment Management Co to Compass Wealthleft Dec 16, 2015, registered Feb 22, 2016 (68 days) · Other
- Cornerstone Wealth Management, LLC to On Investment Management Coleft May 22, 2013, registered May 22, 2013 (0 days) · Other
- LPL Financial LLC to Cornerstone Wealth Management, LLCleft Mar 27, 2013, registered Aug 27, 2012 (-212 days) · Other
- Edward Jones to LPL Financial LLCleft Dec 23, 2011, registered Jan 3, 2012 (11 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address