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

W••••• L•••• S•••••••

M••••• G•••• I••••••••• A•••••••• L••independent RIASt. Louis, MoIA-onlyIAPD 6500229

Certified Financial Planner

Feed of 09/14/2026

Also filed as W••••• L S•••••••

At current firm

4 y

since Jan 25, 2022

In the industry

10 y

since Feb 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• G•••• I••••••••• A•••••••• L•• independent RIA current
since Jan 25, 2022 · St. Louis, Mo
C•••••• S••••• • C••• I••• national BD
Mar 10, 2020 to Jan 24, 2022 · Chesterfield, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 28, 2019 to Mar 2, 2020 · St Louis, Mo
T• A••••••••• I••• former
Jan 28, 2019 to Mar 2, 2020 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M••••• G•••• I••••••••• A•••••••• L••
left Jan 24, 2022, registered Jan 25, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Mar 2, 2020, registered Mar 10, 2020 (8 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 2, 2020, registered Jan 28, 2019 (-399 days) · channel change inside one enterprise, not a move

Signals

W••••• L•••• S••••••• left C•••••• S••••• • C••• I••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2022-01-25)
Jan 24, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address