R•••• L• B•••

Advisor at C••••••• F•••••••• D••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:ae4e6a1f-414f-a525-adc7-063fd4bbcb11

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••••• F•••••••• D••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 21, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• F•••••••• D••••••• I•••	Bd affiliated wealth	Oct 23, 2007	n/a	yes	Overland Park, KS\|LEES SUMMIT, MO\|KOKOMO, IN	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Mar 29, 2007	Oct 24, 2007	no	LEE'S SUMMIT, MO

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	C••••••• F•••••••• D••••••• I•••	Oct 24, 2007	Oct 23, 2007	-1	Firm change	Other
C••••••• F•••••••• D••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Mar 29, 2007	Mar 29, 2007

Relationships

Registered with (2)

→ C••••••• F•••••••• D••••••• I•••Registered adviserregistration: previous registration
Feb 4, 2004 to Mar 29, 2007factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 29, 2007 to Oct 24, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae4e6a1f-414f-a525-adc7-063fd4bbcb11
First observed: Feb 4, 2004
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.