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

D•••••• N••••••• M••••••

C••••• I••••••••• A••••••• L••BD affiliatedUniversity City, Mo dual registrantIAPD 5699156

Feed of 09/14/2026

Also filed as D•••••• N M••••••

At current firm

9 y

since Apr 28, 2017

In the industry

16 y

since Oct 2, 2009 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Apr 28, 2017 · Belleville, Il
P•• W••••• M••••••••• BD affiliated
Sep 13, 2016 to May 3, 2017 · St. Louis, Mo
L•• F•••••••• L•• BD affiliated
May 11, 2015 to Sep 8, 2016 · Town & Country, Mo
K•••••• independent RIA
Jan 13, 2014 to Apr 21, 2015 · St. Louis, Mo
M•• F•••••••• S•••••••• I••• former
Jul 28, 2011 to Jan 23, 2014 · St. Louis, Mo
E••••• J•••• national BD
Oct 6, 2009 to May 6, 2010 · Olivette, Mo

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••
left May 3, 2017, registered Apr 28, 2017 (-5 days) · Other
L•• F•••••••• L•• to P•• W••••• M•••••••••
left Sep 8, 2016, registered Sep 13, 2016 (5 days) · Other
K•••••• to L•• F•••••••• L••
left Apr 21, 2015, registered May 11, 2015 (20 days) · Other
M•• F•••••••• S•••••••• I••• to K••••••
left Jan 23, 2014, registered Jan 13, 2014 (-10 days) · Other
E••••• J•••• to M•• F•••••••• S•••••••• I•••
left May 6, 2010, registered Jul 28, 2011 (448 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address