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

B•••• A•••••• C•••••

C••••• I••••••••• A••••••• L••BD affiliatedKansas City, Mo dual registrantIAPD 1795302

Feed of 09/15/2026

At current firm

3 y

since Jun 29, 2023

In the industry

38 y

since Aug 26, 1988 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Kansas City, Mo
C••••••••• F•••••••• N•••••• national BD
Sep 18, 2014 to Sep 1, 2022 · San Diego, Ca
C••••• A••••••• L•• former
Oct 6, 2008 to Sep 23, 2014 · Kansas City, Mo
V•• A••••••• S••••••• former
Nov 29, 2007 to Sep 26, 2008 · Overland Park, Ks
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 25, 2000 to Dec 18, 2007 · Kansas City, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••
left Sep 1, 2022, registered Jun 29, 2023 (301 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left Sep 23, 2014, registered Sep 18, 2014 (-5 days) · Other
V•• A••••••• S••••••• to C••••• A••••••• L••
left Sep 26, 2008, registered Oct 6, 2008 (10 days) · Other
C•••••••• G••••• M•••••• I••• to V•• A••••••• S•••••••
left Dec 18, 2007, registered Nov 29, 2007 (-19 days) · Other

Signals

B•••• A•••••• C••••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Sep 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address