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

C•••••••• T•••• S••••••

W•••• F•••• A•••••••wirehouseSt. Louis, Mo dual registrantIAPD 6254280

Feed of 09/15/2026

Also filed as C•••••••• T S••••••

At current firm

1 y

since Feb 6, 2025

In the industry

12 y

since Nov 7, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Feb 6, 2025 · Indianapolis, In
P•••••••• S••••••••• I••• BD affiliated
Aug 22, 2022 to Jun 29, 2023 · Des Moines, Ia
L•• F•••••••• L•• BD affiliated
Sep 28, 2021 to Jul 14, 2022 · Fort Mill, Sc
W•••• F•••• A••••••• wirehouse
Feb 26, 2020 to Aug 23, 2021 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

P•••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 29, 2023, registered Feb 6, 2025 (588 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to P•••••••• S••••••••• I•••
left Jul 14, 2022, registered Aug 22, 2022 (39 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to L•• F•••••••• L••
left Aug 23, 2021, registered Sep 28, 2021 (36 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C•••••••• T•••• S•••••• left P•••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2025-02-06)
Jun 29, 2023 · Advisor changed firm · fact
C•••••••• T•••• S•••••• left L•• F•••••••• L•• for P•••••••• S••••••••• I••• (registered 2022-08-22)
Jul 14, 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address