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

L••• D• D•••••

U••• B•••••• A•••••••• L••BD affiliatedCamdenton, Mo dual registrantIAPD 3085015

Feed of 09/15/2026

Also filed as L••• Dawn Holland

At current firm

0 y

since Feb 13, 2026

In the industry

19 y

since Oct 9, 2006 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Warrensburg, Mo
U••• B•••••• I••••••••• I••• former
Mar 4, 2024 to Feb 13, 2026 · Rolla, Mo
M•• I•••••••• S•••••••• L•• BD affiliated
Nov 9, 2020 to Mar 5, 2024 · Kansas City, Mo
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Feb 6, 2019 to Sep 30, 2020 · St Louis, Mo
E•••••• F•••••••• E•••••• independent RIA
Oct 6, 2016 to Feb 14, 2017 · Overland Park, Ks
B••••••• I••••••••• S•••••••• I••• ••••• former
Jun 14, 2013 to Jul 12, 2016 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••
left Mar 5, 2024, registered Mar 4, 2024 (-1 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Sep 30, 2020, registered Nov 9, 2020 (40 days) · Other
E•••••• F•••••••• E•••••• to M••••• O• O•••• I••••••• S•••••••• I•••
left Feb 14, 2017, registered Feb 6, 2019 (722 days) · Other
B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• F•••••••• E••••••
left Jul 12, 2016, registered Oct 6, 2016 (86 days) · Other

Signals

L••• D• D••••• left M•• I•••••••• S•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2024-03-04)
Mar 5, 2024 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address