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

E••• S• B••••

A••••••• A••••••• S•••••••• L••BD affiliatedLeawood, Ksdual registrantIAPD 5769668

Feed of 09/14/2026

At current firm

0 y

since Jan 29, 2026

In the industry

16 y

since Apr 29, 2010 (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

A••••••• A••••••• S•••••••• L•• BD affiliated current
since Jan 29, 2026 · Leawood, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Jan 26, 2026 · Overland Park, Ks
C••••• A••••••• L•• former
Jun 7, 2023 to Mar 21, 2024 · Overland Park, Ks
W•••••• • R••• former
Feb 19, 2014 to Apr 20, 2021 · Overland Park, Ks
M•••••• I••••••••• L•• former
Mar 25, 2013 to Feb 12, 2014 · Leawood, Ks
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 2, 2011 to Mar 19, 2013 · Overland Park, Ks
T• A••••••••• I••• former
Mar 2, 2011 to Mar 19, 2013 · Overland Park, Ks
E•••••••• A•••••••• L•• national BD
Apr 30, 2010 to Feb 24, 2011 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to A••••••• A••••••• S•••••••• L••
left Jan 26, 2026, registered Jan 29, 2026 (3 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
W•••••• • R••• to C••••• A••••••• L••
left Apr 20, 2021, registered Jun 7, 2023 (778 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• I••••••••• L•• to W•••••• • R•••
left Feb 12, 2014, registered Feb 19, 2014 (7 days) · Other
T• A••••••••• I••• to M•••••• I••••••••• L••
left Mar 19, 2013, registered Mar 25, 2013 (6 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Mar 19, 2013, registered Mar 2, 2011 (-748 days) · channel change inside one enterprise, not a move
E•••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 24, 2011, registered Mar 2, 2011 (6 days) · Other

Signals

E••• S• B•••• left C••••• I••••••••• A••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2026-01-29)
Jan 26, 2026 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address