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.
Feed of 09/15/2026
Also filed as Leslie Anne Bullard
At current firm
2 y
since Jan 2, 2024
In the industry
21 y
since May 12, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Dai Wealth, LLC independent RIA currentsince Jan 2, 2024 · Lenexa, Ks
- Expand Financial, LLC institutionalJul 14, 2023 to Dec 15, 2023 · Littleton, Co
- Newedge Advisors BD affiliatedNov 11, 2021 to Nov 29, 2022 · New Orleans, La
- Keen Wealth Advisors independent RIAMar 21, 2018 to Jul 26, 2021 · Overland Park, Ks
- Madison Avenue Securities, LLC BD affiliatedNov 8, 2016 to Mar 20, 2018 · Topeka, Ks
- Waddell & Reed formerSep 18, 2009 to Mar 14, 2016 · Overland Park, Ks
- Vsr Advisory Services formerMar 13, 2007 to May 4, 2009 · Overland Pkark, Ks
Moves
a registration end followed by a registration begin elsewhere
- Expand Financial, LLC to Dai Wealth, LLCleft Dec 15, 2023, registered Jan 2, 2024 (18 days) · Other
- Newedge Advisors to Expand Financial, LLCleft Nov 29, 2022, registered Jul 14, 2023 (227 days) · Other
- Keen Wealth Advisors to Newedge Advisorsleft Jul 26, 2021, registered Nov 11, 2021 (108 days) · RIA to affiliated broker-dealer or bank
- Madison Avenue Securities, LLC to Keen Wealth Advisorsleft Mar 20, 2018, registered Mar 21, 2018 (1 days) · RIA to RIA
- Waddell & Reed to Madison Avenue Securities, LLCleft Mar 14, 2016, registered Nov 8, 2016 (239 days) · Other
- Vsr Advisory Services to Waddell & Reedleft May 4, 2009, registered Sep 18, 2009 (137 days) · Other
Signals
- Leslie Penka left Expand Financial, Llc for Dai Wealth, Llc (registered 2024-01-02)Dec 15, 2023 · Advisor changed firm · fact
- Leslie Penka left Newedge Advisors for Expand Financial, Llc (registered 2023-07-14)Nov 29, 2022 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address