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

P•••• E•••••• L••••

L•• F•••••••• L••BD affiliatedTopeka, Ksdual registrantIAPD 851975

Feed of 09/14/2026

At current firm

2 y

since Jan 26, 2024

In the industry

41 y

since Aug 26, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Jan 26, 2024 · Topeka, Ks
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 3, 2023 to Feb 12, 2024 · Topeka, Ks
C•••• A••••••• C••• state registered
Feb 15, 2005 to Dec 31, 2022 · Salina, Ks
C••••••••• A••••••• independent RIA
Jan 18, 2001 to Jul 30, 2004 · Topeka, Ks

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left Feb 12, 2024, registered Jan 26, 2024 (-17 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••• A••••••• C••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2022, registered Jan 3, 2023 (3 days) · Other
C••••••••• A••••••• to C•••• A••••••• C•••
left Jul 30, 2004, registered Feb 15, 2005 (200 days) · Other

Signals

P•••• E•••••• L•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-01-26)
Feb 12, 2024 · Advisor changed firm · fact
P•••• E•••••• L•••• left C•••• A••••••• C••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-01-03)
Dec 31, 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address