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

N•••• A•• L•••••

C••••• P••••••• P•••••••independent RIAChesterfield, Mo IA-onlyIAPD 5840885

Feed of 09/15/2026

Also filed as N•••• L•••••

At current firm

3 y

since Jun 20, 2023

In the industry

15 y

since Oct 2, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• P••••••• P••••••• independent RIA current
since Jun 20, 2023 · Chesterfield, Mo
E•••••• F•••••••• E•••••• independent RIA
Nov 30, 2016 to Jul 7, 2023 · St. Louis, Mo
F•••••••• E•••••• A•••••• C•••••• L•• former
Jul 23, 2015 to Nov 30, 2016 · St. Louis, Mo
T•• M••••• F••• S•••• former
Oct 13, 2011 to Sep 8, 2015 · Overland Park, Ks
F•••••• F•••••••• P•••••••• L•• independent RIA
Oct 4, 2010 to Sep 13, 2011 · Saint Charles, Mo

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to C••••• P••••••• P•••••••
left Jul 7, 2023, registered Jun 20, 2023 (-17 days) · RIA to RIA
F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••
left Sep 8, 2015, registered Jul 23, 2015 (-47 days) · channel change inside one enterprise, not a move · moved with a team
F•••••• F•••••••• P•••••••• L•• to T•• M••••• F••• S••••
left Sep 13, 2011, registered Oct 13, 2011 (30 days) · Other

Signals

N•••• A•• L••••• left E•••••• F•••••••• E•••••• for C••••• P••••••• P••••••• (registered 2023-06-20)
Jul 7, 2023 · a•••••• firm change · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address