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

D•••••• A•••••• W••••••

C••••••• P•••••••independent RIAOverland Park, Ks IA-onlyIAPD 4587380

Feed of 09/15/2026

At current firm

14 y

since Sep 26, 2011

In the industry

23 y

since Aug 29, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Jan 30, 2026 · Knoxville, Tn
C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager current
since Sep 26, 2011 · Newport Beach, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Jan 30, 2026 · Knoxville, Tn
S••••••• P•••••• C••••• G••••• L•• former
Mar 24, 2016 to Dec 9, 2025 · Knoxville, Tn
C••••• A•••••• N••••••• L•• former
Sep 3, 2013 to Jun 29, 2023 · Knoxville, Tn
S••••••• P•••••• C••••• G••••• L•• former
Jan 7, 2008 to Dec 31, 2015 · Knoxville, Tn
W••••• S••••• S••••••••• I••• former
Feb 8, 2005 to Oct 20, 2005 · Knoxville, Tn
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2004 to Feb 18, 2005 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••• P•••••••
left Jan 30, 2026, registered Jan 30, 2026 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S••••••• P•••••• C••••• G••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 9, 2025, registered Jun 29, 2023 (-894 days) · Other · moved with a team
C••••• A•••••• N••••••• L•• to S••••••• P•••••• C••••• G••••• L••
left Jun 29, 2023, registered Mar 24, 2016 (-2653 days) · Other · moved with a team
S••••••• P•••••• C••••• G••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Dec 31, 2015, registered Sep 26, 2011 (-1557 days) · Other
W••••• S••••• S••••••••• I••• to S••••••• P•••••• C••••• G••••• L••
left Oct 20, 2005, registered Jan 7, 2008 (809 days) · Other
M•• I•••••••• S•••••••• L•• to W••••• S••••• S••••••••• I•••
left Feb 18, 2005, registered Feb 8, 2005 (-10 days) · Other

Signals

D•••••• A•••••• W•••••• left C••••• I••••••••• A••••••• L•• for C••••••• P••••••• (registered 2026-01-30)
Jan 30, 2026 · a•••••• firm change · fact
D•••••• A•••••• W•••••• left S••••••• P•••••• C••••• G••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Dec 9, 2025 · a•••••• firm change · fact
D•••••• A•••••• W•••••• left C••••• A•••••• N••••••• L•• for S••••••• P•••••• C••••• G••••• L•• (registered 2016-03-24)
Jun 29, 2023 · a•••••• firm change · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address