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.

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Registered advisor

T••••• D••• M•••••

L•• F•••••••• L••BD affiliatedTopeka, Ksdual registrantIAPD 1560776

Feed of 09/14/2026

At current firm

1 y

since Jul 14, 2025

In the industry

39 y

since Nov 21, 1986 (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

L•• F•••••••• L•• BD affiliated current
since Jul 14, 2025 · Topeka, Ks
O•••• W•••••• I••• BD affiliated
Jan 24, 2025 to Jul 17, 2025 · Topeka, Ks
O•••• F•• I••• former
May 4, 2011 to Apr 29, 2016 · Wichita, Ks
O•••• F•• I••• former
Nov 8, 2010 to Jan 24, 2025 · Topeka, Ks
Q•• F•••••••• L•• unclassified
Aug 1, 2001 to Nov 11, 2010 · Topeka, Ks

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Jul 17, 2025, registered Jul 14, 2025 (-3 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to O•••• F•• I•••
left Jan 24, 2025, registered May 4, 2011 (-5014 days) · channel change inside one enterprise, not a move
O•••• F•• I••• to O•••• W•••••• I•••
left Apr 29, 2016, registered Jan 24, 2025 (3192 days) · Other
Q•• F•••••••• L•• to O•••• F•• I•••
left Nov 11, 2010, registered Nov 8, 2010 (-3 days) · Other

Signals

T••••• D••• M••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-07-14)
Jul 17, 2025 · 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address