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

R••• P••• F••••••

N•••••• A•••••••BD affiliatedOverland Park, Ks IA-onlyIAPD 5359587

Certified Financial Planner

Feed of 09/15/2026

Also filed as R••• P••• F••••••

At current firm

2 y

since Aug 2, 2024

In the industry

19 y

since Sep 13, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since Aug 2, 2024 · Overland Park, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Aug 1, 2024 · Overland Park, Ks
C••••• A••••••• L•• former
Jun 18, 2020 to Mar 21, 2024 · Overland Park, Ks
E••••• W••••• A•••••••• L•• mixed wealth
Oct 31, 2017 to Jun 17, 2020 · Overland Park, Ks
C••••• A••••••• L•• former
Jun 18, 2010 to Nov 3, 2017 · Overland Park, Ks
U••• B•••••• I••••••••• I••• former
May 6, 2008 to Jun 25, 2010 · Roeland Park, Ks
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 14, 2007 to Apr 2, 2008 · Kansas City, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to N•••••• A•••••••
left Aug 1, 2024, registered Aug 2, 2024 (1 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
E••••• W••••• A•••••••• L•• to C••••• A••••••• L••
left Jun 17, 2020, registered Jun 18, 2020 (1 days) · RIA to affiliated broker-dealer or bank
C••••• A••••••• L•• to E••••• W••••• A•••••••• L••
left Nov 3, 2017, registered Oct 31, 2017 (-3 days) · Other · moved with a team
U••• B•••••• I••••••••• I••• to C••••• A••••••• L••
left Jun 25, 2010, registered Jun 18, 2010 (-7 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Apr 2, 2008, registered May 6, 2008 (34 days) · Other

Signals

R••• P••• F•••••• left C••••• I••••••••• A••••••• L•• for N•••••• A••••••• (registered 2024-08-02)
Aug 1, 2024 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address