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

J••••• A• S••••

M•• I•••••••• S•••••••• L••BD affiliatedOverland Park, Ks dual registrantIAPD 5214005

Feed of 09/15/2026

Also filed as J••••• S••••

At current firm

0 y

since Jan 16, 2026

In the industry

20 y

since Apr 1, 2006 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jan 16, 2026 · Overland Park, Ks
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Apr 24, 2025 to Dec 9, 2025 · Springfield, Mo
P••• A••••• S••••••••• L•• BD affiliated
Nov 6, 2023 to Oct 31, 2024 · Springfield, Mo
M•• I•••••••• S•••••••• L•• BD affiliated
Apr 11, 2022 to Oct 18, 2023 · Chesterfield, Mo
W•••••• • R••• former
Mar 23, 2007 to Feb 26, 2018 · Topeka, Ks

Moves

a registration end followed by a registration begin elsewhere

M••••• O• O•••• I••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Dec 9, 2025, registered Jan 16, 2026 (38 days) · RIA to affiliated broker-dealer or bank
P••• A••••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••
left Oct 31, 2024, registered Apr 24, 2025 (175 days) · Affiliated broker-dealer or bank to independent RIA
M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
left Oct 18, 2023, registered Nov 6, 2023 (19 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to M•• I•••••••• S•••••••• L••
left Feb 26, 2018, registered Apr 11, 2022 (1505 days) · Other

Signals

J••••• A• S•••• left M••••• O• O•••• I••••••• S•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2026-01-16)
Dec 9, 2025 · Advisor changed firm · fact
J••••• A• S•••• left P••• A••••• S••••••••• L•• for M••••• O• O•••• I••••••• S•••••••• I••• (registered 2025-04-24)
Oct 31, 2024 · Advisor changed firm · fact
J••••• A• S•••• left M•• I•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2023-11-06)
Oct 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address