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••••••••• A••• R•••••

C••••••• P•••••••independent RIAOverland Park, Ks IA-onlyIAPD 5206983

Feed of 09/14/2026

Also filed as C••••••••• A••• R•••••

At current firm

4 y

since Mar 21, 2022

In the industry

15 y

since Jul 8, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••••• P••••••• independent RIA current
since Mar 21, 2022 · Overland Park, Ks
W••••••• W••••• M••••••••• mixed wealth
Jun 25, 2021 to Mar 24, 2022 · Houston, Tx
C•••••• S••••• • C••• I••• national BD
Jul 12, 2016 to Jan 18, 2021 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 28, 2011 to Jun 20, 2016 · Omaha, Ne
T• A••••••••• I••• former
Jul 28, 2011 to Jun 20, 2016 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

W••••••• W••••• M••••••••• to C••••••• P•••••••
left Mar 24, 2022, registered Mar 21, 2022 (-3 days) · RIA to RIA
C•••••• S••••• • C••• I••• to W••••••• W••••• M•••••••••
left Jan 18, 2021, registered Jun 25, 2021 (158 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 20, 2016, registered Jul 28, 2011 (-1789 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 20, 2016, registered Jul 28, 2011 (-1789 days) · Other

Signals

C••••••••• A••• R••••• left W••••••• W••••• M••••••••• for C••••••• P••••••• (registered 2022-03-21)
Mar 24, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address