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

F••••••• C••• S•••••

A••••••••• F•••••••• S•••••••• L••national BDLees Summit, Mo dual registrantIAPD 2946930

Feed of 09/15/2026

Also filed as Frank C••• S•••••

At current firm

1 y

since Aug 11, 2025

In the industry

21 y

since Jun 18, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Aug 11, 2025 · Overland Park, Ks
F•• W••••• M••••••••• L•• BD affiliated
Oct 22, 2024 to Aug 11, 2025 · West Des Moines, Ia
C•••••• S••••• • C••• I••• national BD
Jul 1, 2022 to Oct 11, 2024 · Kansas City, Mo
U••• B•••••• I••••••••• I••• former
Apr 13, 2020 to Jun 28, 2022 · Prairie Village, Ks
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 21, 2011 to Apr 20, 2020 · El Cajon, Ca
M••••• S•••••• wirehouse
Jan 1, 2011 to Aug 19, 2011 · La Mesa, Ca

Moves

a registration end followed by a registration begin elsewhere

F•• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 11, 2025, registered Aug 11, 2025 (0 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to F•• W••••• M••••••••• L••
left Oct 11, 2024, registered Oct 22, 2024 (11 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to C•••••• S••••• • C••• I•••
left Jun 28, 2022, registered Jul 1, 2022 (3 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Apr 20, 2020, registered Apr 13, 2020 (-7 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 19, 2011, registered Oct 21, 2011 (63 days) · Wirehouse to wirehouse

Signals

F••••••• C••• S••••• left F•• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-08-11)
Aug 11, 2025 · Advisor changed firm · fact
F••••••• C••• S••••• left C•••••• S••••• • C••• I••• for F•• W••••• M••••••••• L•• (registered 2024-10-22)
Oct 11, 2024 · Advisor changed firm · fact
F••••••• C••• S••••• left U••• B•••••• I••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2022-07-01)
Jun 28, 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address