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•••••• N•••••

S•••••••• A••••••• L••national BDSt. Charles, Modual registrantIAPD 6475378

Feed of 09/14/2026

Also filed as C•••••• N•••••

At current firm

1 y

since Mar 31, 2025

In the industry

11 y

since Apr 1, 2015 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · St. Charles, Mo
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 5, 2021 to Mar 31, 2025 · St. Charles, Mo
T• A••••••••• I••• former
Feb 27, 2018 to Jan 11, 2021 · Louisville, Ky
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Dec 31, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Apr 14, 2017 to Feb 26, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Jun 23, 2015 to Apr 4, 2017 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 11, 2021, registered Nov 5, 2021 (298 days) · Other · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Apr 4, 2017, registered Apr 14, 2017 (10 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address