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

A••••• D•••• S••••••

L•• F•••••••• L••BD affiliatedSt Joseph, Mo dual registrantIAPD 5516617

Feed of 09/15/2026

Also filed as A••••• S••••••

At current firm

3 y

since Nov 28, 2022

In the industry

18 y

since Jun 12, 2008 (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

L•• F•••••••• L•• BD affiliated current
since Nov 28, 2022 · Lawrence, Ks
U••• B•••••• I••••••••• I••• former
Jan 23, 2017 to Nov 30, 2022 · Lawrence, Ks
S••••• F•••••••• G•••• I•• former
Jun 25, 2013 to Jan 24, 2017 · Leawood, Ks
V• W••••• A••••••• L•• former
Apr 16, 2012 to Jun 26, 2013 · Overland Park, Ks
E••••• J•••• national BD
Jun 16, 2008 to Apr 3, 2012 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Nov 30, 2022, registered Nov 28, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S••••• F•••••••• G•••• I•• to U••• B•••••• I••••••••• I•••
left Jan 24, 2017, registered Jan 23, 2017 (-1 days) · Other
V• W••••• A••••••• L•• to S••••• F•••••••• G•••• I••
left Jun 26, 2013, registered Jun 25, 2013 (-1 days) · Other
E••••• J•••• to V• W••••• A••••••• L••
left Apr 3, 2012, registered Apr 16, 2012 (13 days) · Other

Signals

A••••• D•••• S•••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-28)
Nov 30, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address