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
At current firm
5 y
since Apr 1, 2021
In the industry
19 y
since Jul 3, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- Krilogy independent RIA currentsince Apr 1, 2021 · St. Louis, Mo
- Td Ameritrade Investment Management, LLC formerDec 21, 2011 to Dec 31, 2020 · St. Louis, Mo
- Td Ameritrade, Inc. formerDec 21, 2011 to Jan 11, 2021 · St Louis, Mo
- Sunset Financial Services, Inc. formerOct 31, 2011 to Dec 13, 2011 · St Charles, Mo
- Cambridge Investment Research Advisors, Inc. BD affiliatedMar 5, 2010 to Nov 17, 2011 · St Charles, Mo
- Securian Financial Services, Inc. formerAug 16, 2007 to Mar 3, 2010 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade, Inc. to Krilogyleft Jan 11, 2021, registered Apr 1, 2021 (80 days) · Other
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Dec 31, 2020, registered Dec 21, 2011 (-3298 days) · corporate re-registration, not a move
- Sunset Financial Services, Inc. to Td Ameritrade Investment Management, LLCleft Dec 13, 2011, registered Dec 21, 2011 (8 days) · Other
- Cambridge Investment Research Advisors, Inc. to Sunset Financial Services, Inc.left Nov 17, 2011, registered Oct 31, 2011 (-17 days) · Other
- Securian Financial Services, Inc. to Cambridge Investment Research Advisors, Inc.left Mar 3, 2010, registered Mar 5, 2010 (2 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