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••••• C••••• F•••••••

L•• F•••••••• L••BD affiliatedCape Girardeau, Modual registrantIAPD 6681654

Feed of 09/14/2026

Also filed as C••••• F•••••••

At current firm

1 y

since Feb 10, 2025

In the industry

10 y

since Jun 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Feb 10, 2025 · Cape Girardeau, Mo
U••• B•••••• I••••••••• I••• former
Feb 13, 2023 to Feb 14, 2025 · Cape Girardeau, Mo
S•••••• N••••••• • C••••••• I••••••••• national BD
Jun 1, 2021 to Mar 3, 2023 · Cape Girardeau, Mo
V•••••••• W••••• A•••••••• L•• independent RIA
Mar 16, 2021 to Mar 31, 2021 · Jackson, Mo
W•••• F•••• A••••••• wirehouse
Sep 23, 2016 to Mar 17, 2021 · Cape Girardeau, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Feb 14, 2025, registered Feb 10, 2025 (-4 days) · Affiliated broker-dealer or bank to another
S•••••• N••••••• • C••••••• I••••••••• to U••• B•••••• I••••••••• I•••
left Mar 3, 2023, registered Feb 13, 2023 (-18 days) · Affiliated broker-dealer or bank to another
V•••••••• W••••• A•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Mar 31, 2021, registered Jun 1, 2021 (62 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to V•••••••• W••••• A•••••••• L••
left Mar 17, 2021, registered Mar 16, 2021 (-1 days) · Wirehouse to independent RIA

Signals

C••••• C••••• F••••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2025-02-10)
Feb 14, 2025 · Advisor changed firm · fact
C••••• C••••• F••••••• left S•••••• N••••••• • C••••••• I••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-02-13)
Mar 3, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address