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•••••• M•••••

A••••••• C•••••• M••••••••• L••independent RIADes Moines, Ia IA-onlyIAPD 5415955

Feed of 09/14/2026

Also filed as S•••••• M•••••

At current firm

1 y

since Jul 9, 2025

In the industry

18 y

since Nov 9, 2007 (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

A••••••• C•••••• M••••••••• L•• independent RIA current
since Jul 9, 2025 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
Jun 4, 2024 to Jul 16, 2024 · St. Louis, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
May 11, 2022 to Apr 18, 2024 · O'Fallon, Mo
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 17, 2019 to Jan 10, 2022 · Chesterfield, Mo
O• I••••••••• M••••••••• C• BD affiliated
Jul 23, 2014 to Dec 31, 2018 · St. Louis, Mo
M•••• C••••••• A••••••• S•••••• BD affiliated
Mar 20, 2013 to Jul 31, 2013 · Saint Peters, Mo
E••••• J•••• national BD
Nov 26, 2007 to Nov 17, 2009 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to A••••••• C•••••• M••••••••• L••
left Jul 16, 2024, registered Jul 9, 2025 (358 days) · Wirehouse to independent RIA
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Apr 18, 2024, registered Jun 4, 2024 (47 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•• I•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Jan 10, 2022, registered May 11, 2022 (121 days) · Affiliated broker-dealer or bank to another
O• I••••••••• M••••••••• C• to M•• I•••••••• S•••••••• L••
left Dec 31, 2018, registered Jul 17, 2019 (198 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••• C••••••• A••••••• S•••••• to O• I••••••••• M••••••••• C•
left Jul 31, 2013, registered Jul 23, 2014 (357 days) · Other
E••••• J•••• to M•••• C••••••• A••••••• S••••••
left Nov 17, 2009, registered Mar 20, 2013 (1219 days) · Other

Signals

S•••••• M••••• left W•••• F•••• A••••••• for A••••••• C•••••• M••••••••• L•• (registered 2025-07-09)
Jul 16, 2024 · Advisor changed firm · fact
S•••••• M••••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2024-06-04)
Apr 18, 2024 · Advisor changed firm · fact
S•••••• M••••• left M•• I•••••••• S•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-05-11)
Jan 10, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address