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

M•••••• M•••• H•••••

L•• F•••••••• L••BD affiliatedWichita, Ks dual registrantIAPD 3098357

Feed of 09/14/2026

Also filed as M•••••• M•••• H•••••

At current firm

3 y

since May 18, 2023

In the industry

27 y

since Oct 23, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 18, 2023 · Wichita, Ks
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 13, 2020 to May 18, 2023 · Wichita, Ks
U•• F•••••••• S•••••••• I••• independent RIA
Jul 19, 2017 to Jul 23, 2020 · Wichita, Ks
C••• F•••••••• S•••••••• L••• former
Nov 1, 2016 to Apr 13, 2017 · Wichita, Ks
I••••• F•••••••• C••••••••• former
Oct 9, 2013 to Oct 7, 2016 · Wichita, Ks
B••••••• I••••••••• S•••••••• I••• ••••• former
Sep 18, 2006 to Oct 11, 2013 · Ellinwood, Ks
I••••• F•••••••• C••••••••• former
Jun 10, 2004 to Aug 12, 2006 · Wichita, Ks
E•••••••• A•••••••• L•• national BD
Oct 3, 2001 to Sep 18, 2002 · Wichita, Ks

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left May 18, 2023, registered May 18, 2023 (0 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 23, 2020, registered Oct 13, 2020 (82 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to U•• F•••••••• S•••••••• I•••
left Apr 13, 2017, registered Jul 19, 2017 (97 days) · Other
I••••• F•••••••• C••••••••• to C••• F•••••••• S•••••••• L•••
left Oct 7, 2016, registered Nov 1, 2016 (25 days) · Other
B••••••• I••••••••• S•••••••• I••• ••••• to I••••• F•••••••• C•••••••••
left Oct 11, 2013, registered Oct 9, 2013 (-2 days) · Other
I••••• F•••••••• C••••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Aug 12, 2006, registered Sep 18, 2006 (37 days) · Other
E•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••
left Sep 18, 2002, registered Jun 10, 2004 (631 days) · Other

Signals

M•••••• M•••• H••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-05-18)
May 18, 2023 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address