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

C•••••• L••••• P••••

C•••••• S••••• • C••• I•••national BDWichita, Ksdual registrantIAPD 4681947

Feed of 09/14/2026

Also filed as Cindy Louise Brooks

At current firm

3 y

since Sep 5, 2023

In the industry

23 y

since Jun 1, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Sep 5, 2023 · Wichita, Ks
M••••• S•••••• wirehouse
Aug 3, 2021 to Sep 14, 2023 · Wichita, Ks
W••••• A••••••• A••••••• G••••• L•• independent RIA
Jun 5, 2020 to Sep 30, 2021 · Wichita, Ks
T• A••••••••• I••• former
Feb 27, 2018 to Apr 28, 2020 · Wichita, Ks
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Apr 28, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
May 9, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C•••••• S••••• • C••• I•••
left Sep 14, 2023, registered Sep 5, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank
W••••• A••••••• A••••••• G••••• L•• to M••••• S••••••
left Sep 30, 2021, registered Aug 3, 2021 (-58 days) · RIA to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 28, 2020, registered Feb 27, 2018 (-791 days) · corporate re-registration, not a move
T• A••••••••• I••• to W••••• A••••••• A••••••• G••••• L••
left Apr 28, 2020, registered Jun 5, 2020 (38 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

C•••••• L••••• P•••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2023-09-05)
Sep 14, 2023 · 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address