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

P•••••• A••• B••••

C••••••• P•••••••independent RIAOverland Park, Ks IA-onlyIAPD 4289135

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Pat B••••

At current firm

1 y

since Oct 9, 2024

In the industry

25 y

since Mar 9, 2001 (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

C••••••• P••••••• independent RIA current
since Oct 9, 2024 · Lawrence, Ks
E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• former
Oct 3, 2019 to Dec 5, 2024 · Lawrence, Ks
C••••• A••••••• L•• former
Jan 3, 2013 to Oct 11, 2019 · Overland Park, Ks
C••••••••• C•••••• S••••••••• I••• independent RIA
May 2, 2012 to Dec 31, 2012 · Lawrence, Ks
P•••••••• S••••••••• I••• BD affiliated
Sep 28, 2011 to May 4, 2012 · Lawrence, Ks
S•• BD affiliated
Jan 26, 2009 to Dec 31, 2010 · Lawrence, Ks
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 16, 2007 to Feb 11, 2009 · Kansas City, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 18, 2006 to Nov 30, 2007 · Kansas City, Mo
A••••••• C•••••• A••••••• S•••••••• I••• former
Nov 1, 2005 to Apr 25, 2006 · Kansas City, Mo

Moves

a registration end followed by a registration begin elsewhere

E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• to C••••••• P•••••••
left Dec 5, 2024, registered Oct 9, 2024 (-57 days) · RIA to RIA · moved with a team
C••••• A••••••• L•• to E•••••• D••••• R••••••••• I••••••••• A•••••••• L••
left Oct 11, 2019, registered Oct 3, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
C••••••••• C•••••• S••••••••• I••• to C••••• A••••••• L••
left Dec 31, 2012, registered Jan 3, 2013 (3 days) · Other
P•••••••• S••••••••• I••• to C••••••••• C•••••• S••••••••• I•••
left May 4, 2012, registered May 2, 2012 (-2 days) · Other
S•• to P•••••••• S••••••••• I•••
left Dec 31, 2010, registered Sep 28, 2011 (271 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••
left Feb 11, 2009, registered Jan 26, 2009 (-16 days) · Other
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 30, 2007, registered Nov 16, 2007 (-14 days) · Other
A••••••• C•••••• A••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
left Apr 25, 2006, registered Jul 18, 2006 (84 days) · Other

Signals

P•••••• A••• B•••• left E•••••• D••••• R••••••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2024-10-09)
Dec 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address