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.
Feed of 09/14/2026
Also filed as Mindy Underwood
At current firm
19 y
since Sep 4, 2007
In the industry
32 y
since Sep 27, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Bcwm independent RIA currentsince Sep 4, 2007 · Overland Park, Ks
- Ameriprise Advisor Services, Inc. unclassifiedAug 1, 2003 to Sep 10, 2007 · Overland Park, Ks
- UBS Financial Services Inc. wirehouseNov 15, 1994 to Jun 3, 2003 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Advisor Services, Inc. to Bcwmleft Sep 10, 2007, registered Sep 4, 2007 (-6 days) · Other
- UBS Financial Services Inc. to Ameriprise Advisor Services, Inc.left Jun 3, 2003, registered Aug 1, 2003 (59 days) · Other
Signals
No dated event on this person.
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address