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

B•••• C•••••• D••••

L•• F•••••••• L••BD affiliatedClinton, Mo dual registrantIAPD 4240528

Feed of 09/15/2026

Also filed as B•••• C•••••• D••••

At current firm

1 y

since Mar 28, 2025

In the industry

22 y

since Jan 20, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Mar 28, 2025 · Overland Park, Ks
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Apr 2, 2025 · Clinton, Mo
S••••••••• A•••••• A•••••••• I••• former
Jun 10, 2020 to Jun 14, 2024 · Overland Park, Ks
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 5, 2011 to Jun 15, 2020 · Overland Park, Ks
I•• W••••• M••••••••• I••• BD affiliated
May 5, 2010 to Jul 8, 2010 · Decatur, Il

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Apr 2, 2025, registered Mar 28, 2025 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jun 15, 2020, registered Jun 10, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
I•• W••••• M••••••••• I••• to V••• F•••••••• A•••••••• I•••
left Jul 8, 2010, registered Jan 5, 2011 (181 days) · Other

Signals

B•••• C•••••• D•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-03-28)
Apr 2, 2025 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address