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••••••• M•••• G•••••

P•••• C•••••• F••••••••mixed wealthOverland Park, Ks dual registrantIAPD 2811084

Feed of 09/15/2026

At current firm

2 y

since Sep 29, 2023

In the industry

29 y

since Nov 25, 1996 (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

P•••• C•••••• F•••••••• mixed wealth current
since Sep 29, 2023 · Overland Park, Ks
C••••• A•••••• N••••••• L•• former
Nov 1, 2017 to Jun 13, 2019 · Mclean, Va
U••••• C•••••• F•••••••• A••••••• independent RIA
Mar 3, 2006 to Oct 27, 2023 · Bethesda, Md
G••••• S••••••••• I••• former
Mar 1, 2006 to Nov 1, 2017 · Bethesda, Md
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 25, 2002 to Mar 1, 2006 · Greenbelt, Md

Moves

a registration end followed by a registration begin elsewhere

U••••• C•••••• F•••••••• A••••••• to C••••• A•••••• N••••••• L••
left Oct 27, 2023, registered Nov 1, 2017 (-2186 days) · Other · moved with a team
C••••• A•••••• N••••••• L•• to P•••• C•••••• F••••••••
left Jun 13, 2019, registered Sep 29, 2023 (1569 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
G••••• S••••••••• I••• to U••••• C•••••• F•••••••• A•••••••
left Nov 1, 2017, registered Mar 3, 2006 (-4261 days) · Other · moved with a team
A••••••••• F•••••••• S•••••••• L•• to G••••• S••••••••• I•••
left Mar 1, 2006, registered Mar 1, 2006 (0 days) · Other

Signals

C••••••• M•••• G••••• left U••••• C•••••• F•••••••• A••••••• for C••••• A•••••• N••••••• L•• (registered 2017-11-01)
Oct 27, 2023 · a•••••• firm change · 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: Wealth manager with institutional or fund businessderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address