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.

Registered advisor

Lisa Ann Sumpter

Lanark Financial, Inc.BD affiliatedFarmington, Modual registrantIAPD 4310148

Certified Financial Planner

Feed of 09/14/2026

Also filed as Lisa Ann Wampler

At current firm

7 y

since Jun 6, 2019

In the industry

25 y

since Dec 18, 2000 (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

Lanark Financial, Inc. BD affiliated current
since Jun 6, 2019 · Farmington, Mo
First State Financial Management, Inc. unclassified
Feb 28, 2007 to Jun 7, 2019 · Potosi, Mo
Money Concepts Advisory Service BD affiliated
Aug 8, 2006 to Mar 2, 2007 · Farmington, Mo
U.S. Bancorp Investments, Inc. former
Feb 28, 2006 to Aug 2, 2006 · Farmington, Mo

Moves

a registration end followed by a registration begin elsewhere

First State Financial Management, Inc. to Lanark Financial, Inc.
left Jun 7, 2019, registered Jun 6, 2019 (-1 days) · Other · moved with a team
Money Concepts Advisory Service to First State Financial Management, Inc.
left Mar 2, 2007, registered Feb 28, 2007 (-2 days) · Other
U.S. Bancorp Investments, Inc. to Money Concepts Advisory Service
left Aug 2, 2006, registered Aug 8, 2006 (6 days) · Other

Signals

No dated event on this person.

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address