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.
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SEC-registered adviser
U•• F•••••••• S•••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Mar 5, 2012 · 73 filings
SEC status approved since Apr 9, 2004
RAUM
$5.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$5.0M individuals and HNW
Advisors
44
registered through the firm on IAPD
RAUM per advisor
$114,621
derived; firm RAUM over IAPD count
Employees
55
54 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
73 filings and snapshots on the tape
RAUM$5.0M as of Apr 14, 2026
Mar 23, 2016$10.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)54 as of Apr 14, 2026
Mar 5, 20120 then
Employees (5.A)55 as of Apr 14, 2026
Mar 5, 201360 then
Private funds: no history
RAUM +64% over the last fiscal year+53% a year over threeIARs 41 to 54offices 15 to 19
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $114,621derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $5.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.2derived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +32%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Wrap fee program
- $774MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$5.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- $774M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=47.0derived
Advisors registered through the firm
44 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• L••• T••••••• | Overland Park, Ks | Sep 10, 2004 | 39 y | 0 |
| A••• K•••• P•••••• | Leawood, Ks | Apr 6, 2006 | 26 y | 3 |
| A••••• G••• G•••• | Kansas City, Mo | Oct 17, 2007 | 33 y | 0 |
| G•••••• A•••• A••• | Leawood, Ks | Feb 24, 2010 | 27 y | 0 |
| M••••••• R•••• K•••••• | Belleville, Il | May 7, 2010 | 35 y | 0 |
| C••• W•••••• C•••••• | Leawood, Ks | Jul 9, 2012 | 25 y | 0 |
| M•••••• P••••• S•••••• | Gilbert, Az | Apr 1, 2013 | 24 y | 0 |
| P•••••• J•••• M•••• | Kansas City, Mo | Jan 17, 2014 | 21 y | 0 |
| D•••• N••••• E•••••• | Kansas City, Mo | Aug 21, 2014 | 24 y | 1 |
| B••• A•••• S•••••• | Thornton, Co | Mar 16, 2015 | 16 y | 0 |
| F•••••• M• S••••••••• | Kansas City, Mo | May 22, 2015 | 15 y | 0 |
| J•••• M•••••• C•••••• | Kansas City, Mo | Oct 8, 2015 | 13 y | 0 |
| K•••••••• A•• S••••• | St Louis, Mo | Dec 21, 2015 | 11 y | 0 |
| S••••• J••••• W••••• | St. Louis, Mo | Aug 1, 2016 | 10 y | 0 |
| C•••• J•••• H•••••• | Leawood, Ks | Oct 21, 2016 | 11 y | 0 |
| C••• W•••••• T••••• | St Louis, Mo | Feb 27, 2017 | 14 y | 0 |
| D•••••• L•••••• A•••••••• | Kansas City, Mo | Apr 6, 2017 | 25 y | 0 |
| K•••• A••• N•••Certified Financial Planner | Leawood, Ks | Sep 12, 2017 | 24 y | 2 |
| K•••••• D•••• D•• | Leawood, Ks | Oct 20, 2017 | 28 y | 2 |
| C•••• H••••• S••••••••• | Kansas City, Mo | Feb 5, 2018 | 15 y | 1 |
| C•••• E•••••••• A•••••••• | Kansas City, Mo | Oct 22, 2018 | 13 y | 0 |
| N••••• K•••••••• A•••••••• | Highland Ranch, Co | Jan 11, 2019 | 17 y | 0 |
| M•••••• R•••• L•••• | Leawood, Ks | Mar 11, 2019 | 19 y | 2 |
| N••••••• E••• L••••••••• | St. Louis, Mo | Aug 19, 2021 | 21 y | 0 |
| M•••••• D• C•••••••• | A•••••, Mo | Nov 15, 2021 | 16 y | 1 |
| S•••• W• T•••• | Olathe, Ks | Dec 14, 2021 | 16 y | 2 |
| B••••• R•••• S•••••• | Leawood, Ks | Aug 24, 2022 | 13 y | 1 |
| M•••••• L•• B•••• | Denver, Co | Mar 11, 2024 | 12 y | 0 |
| M•••••• T••••• S•••• | Leawood, Ks | Apr 11, 2024 | 24 y | 3 |
| C•••• R•••• K••• | Leawood, Ks | May 22, 2024 | 20 y | 1 |
| M•••••• K••• R•••••Certified Financial Planner | Leawood, Ks | Jan 10, 2025 | 28 y | 2 |
| S••••••• M• L•••• | Phoenix, Az | Jul 15, 2025 | 15 y | 3 |
| G•••• J•••••• D•••• | Leawood, Ks | Aug 15, 2025 | 21 y | 2 |
| D••• B•••• B•••• | Leawood, Ks | Aug 18, 2025 | 30 y | 2 |
| D••••• J••••• S••••••• | Leawood, Ks | Nov 14, 2025 | 13 y | 4 |
| C•••••• L• M•••••• | Leawood, Ks | Mar 3, 2026 | 16 y | 2 |
| A••••• L•• L•••• | Kansas City, Mo | Mar 19, 2026 | 11 y | 0 |
| R•• C• L••••Certified Financial Planner | Davenport, Ia | Mar 24, 2026 | 37 y | 7 |
| J•••••• O••••• | Madison, Wi | Apr 21, 2026 | 19 y | 2 |
| Z•••••• A••• S••••Certified Financial Planner | Leawood, Ks | May 29, 2026 | 19 y | 0 |
Advisor movement
18 left, 7 joined in 12 months
net -11 in 12 months2 left in 90 days1 joined in 90 daysdeparture rate 41% of current headcount27 left over 36 months
Left, latest
- K•••• C••••••••• H•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 7, 2026 · RIA to affiliated broker-dealer or bank
- T•••• M••••••••• to S•••••••• A••••••• L••Aug 4, 2026 · RIA to affiliated broker-dealer or bank
- F•••• P•••• B•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 12, 2026 · RIA to affiliated broker-dealer or bank
- S••••• C••••••• L••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 12, 2026 · RIA to affiliated broker-dealer or bank
- J••••••• L••••• H••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 12, 2026 · RIA to affiliated broker-dealer or bank
- J•••• R•• T••••• to U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Other
- W•••• R••••• O••••• to U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Other
- J••• C••••• to U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Other
- T•••• A•••••• W••••• to U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Other
- C••• S••••••• C•••••••• to U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Other
- B••••••• J••••• S••••••• to U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Other
- S••••• P••• A••••••• to U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Other
- A•••••• W•••••• R•••••••• to U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Other
- L••••• M••• J••••• to U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Other
- K••••••• A•• G••••• to U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Other
Joined, latest
- J•••• A• L•••• from R•• I••••••••• L••Aug 31, 2026 · RIA to RIA
- A••••• W•••• from A••••••••• F•••••••• S•••••••• L••Jun 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••• A••••• S••••• from A••••••••• F•••••••• S•••••••• L••Jun 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••••• O••••• from A••••••••• F•••••••• S•••••••• L••Apr 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•• C• L•••• from L•• F•••••••• L••Mar 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••• L• M•••••• from J••• M••••• S••••••••• L••Mar 3, 2026 · Wirehouse to independent RIA
- D••••• J••••• S••••••• from E•••••• F•••••••• E••••••Nov 14, 2025 · RIA to RIA
- D••• B•••• B•••• from M•••• C••••••• A••••••• S••••••Aug 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• T•••••• R••• from L•• F•••••••• L••Aug 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- G•••• J•••••• D•••• from L•• F•••••••• L••Aug 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••••• M• L•••• from M••••• S••••••Jul 15, 2025 · Wirehouse to independent RIA
- M•••••• K••• R••••• from L•• F•••••••• L••Jan 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• C••••• from J••• M••••• S••••••••• L••Oct 7, 2024 · Wirehouse to independent RIA
- C•••• R•••• K••• from W•••• F•••• A•••••••May 22, 2024 · Wirehouse to independent RIA
- M•••••• T••••• S•••• from A••••••••• F•••••••• S•••••••• L••Apr 11, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 12, 2026 · Kansas City, Mo
- 3 left for U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Leawood, Ks
- 2 left for U•• P•••••• W••••• M••••••••• L••Apr 30, 2026 · Kansas City, Mo
- 2 left for U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Derby, Ks
- 2 left for U•• P•••••• W••••• M••••••••• L••Apr 14, 2026 · Kansas City, Mo
- 2 left for W•••• F•••• A•••••••Aug 30, 2023 · Kansas City, Mo
- 2 left for P•••••• C•••••• M••••••••• G••••• L••Apr 1, 2021 · Kansas City, Mo
- 2 left for W•••• F•••• A•••••••Jun 30, 2017 · St Louis, Mo
- 2 joined from A••••••••• F•••••••• S•••••••• L••Jun 5, 2026 · Schnecksville, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••• G••• · Finop / President / Director / Pfo / Poo / Treasurercontrolsince 10/2009 · owns less than 5%
- M••••••• J•••••• T••••• · Cao, Svpcontrolsince 08/2005 · owns less than 5%
- L•••• C••••••••• S•••••• · Chief Compliance Officersince 01/2020 · owns less than 5%
- M••••• P•••••• J•••• · Directorsince 01/2017 · owns less than 5%
- M•••••• T••••• H••••• · Directorsince 01/2023 · owns less than 5%
- P••••• J••• C•••••• · Assistant Secretarysince 08/2004 · owns less than 5%
- S•••••••• B••••••• J••••• · Directorsince 01/2023 · owns less than 5%
- S•••••••• J•••• M•••••• · Secretarysince 05/2015 · owns less than 5%
- T•••••• J•••• R•• J• · Directorsince 01/2020 · owns less than 5%
Entity owners
- U•• F•••••••• C••• · Stockholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- U•• B•••y
- U•• F•••••••• S•••••••• I•••broker-dealerinvestment advisernRAUM $5.0M
- U•• I•••••••• I••real estaten
Advisers that list U•• F•••••••• S•••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Leawood, Ks | 26 | 6 | 1 | 1 | |
| Kansas City, Mo · principal | 13 | 2 | 5 | 3 | |
| St Louis, Mo | 8 | 1 | 0 | ||
| Clayton, Mo | 4 | 1 | 0 | ||
| Denver, Co | 4 | 1 | 0 | ||
| Dubuque, Ia | 2 | 1 | 0 | ||
| Overland Park, Ks | 2 | 0 | 2 | ||
| Phoenix, Az | 2 | 0 | 0 | ||
| Belleville, Il | 2 | 0 | 0 | ||
| Collinsville, Il | 2 | 0 | 0 | ||
| Ofallon, Mo | 2 | 0 | 0 | ||
| Lees Summit, Mo | 1 | 0 | 1 | ||
| Blue Springs, Mo | 1 | 1 | 1 | ||
| S••••Sdale, Az | 1 | 0 | 1 | ||
| Broomfield, Co | 0 | 0 | 0 | ||
| Plano, Tx | 0 | 0 | 1 | ||
| Shawnee, Ks | 0 | 0 | 0 | ||
| Sheboygan, Wi | 0 | 0 | 1 | ||
| Derby, Ks | 0 | 0 | 1 | 1 | |
| Colorado Springs, Co | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Leawood, KS8 employees
- St Louis, MO7 employees
- Denver, CO6 employees
- Kansas City, MO5 employees
- Clayton, MO3 employees
- Kansas City, MO3 employees
- Collinsville, IL2 employees
- Springfield, MO2 employees
- Belleville, IL2 employees
- Colorado Springs, CO1 employees
- St Louis, MO1 employees
- Phoenix, AZ1 employees
- A•••••, MO1 employees
- O'Fallon, MO1 employees
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Apr 14, 2026 to Sep 3, 2026
- Succession · false to unsetApr 14, 2026 to Sep 3, 2026
- Advisory employees · 51 to 54Mar 5, 2025 to Mar 17, 2026
- BD registered reps · 41 to 47Mar 5, 2025 to Mar 17, 2026
- Individual clients · 1.0 to unsetMar 5, 2025 to Mar 17, 2026
- Employees · 51 to 55Mar 5, 2025 to Mar 17, 2026
- State-registered IARs · 41 to 54Mar 5, 2025 to Mar 17, 2026
- Other offices · 15 to 19Mar 5, 2025 to Mar 17, 2026
- Individual RAUM · $3.1M to $5.0MMar 5, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $3.1M to $5.0MMar 5, 2025 to Mar 17, 2026
- RAUM · $3.1M to $5.0MMar 5, 2025 to Mar 17, 2026
- Wrap assets (sponsor) · $655M to $774MMar 5, 2025 to Mar 17, 2026
- Advisory employees · 58 to 51Jan 6, 2025 to Mar 5, 2025
- BD registered reps · 48 to 41Jan 6, 2025 to Mar 5, 2025
- Employees · 58 to 51Jan 6, 2025 to Mar 5, 2025
- Financial planning clients · More than 500 to More than 500Jan 6, 2025 to Mar 5, 2025
- State-registered IARs · 58 to 41Jan 6, 2025 to Mar 5, 2025
- Other offices · 14 to 15Jan 6, 2025 to Mar 5, 2025
- Individual RAUM · $730,778 to $3.1MJan 6, 2025 to Mar 5, 2025
- Non-discretionary RAUM · $730,778 to $3.1MJan 6, 2025 to Mar 5, 2025
- RAUM · $730,778 to $3.1MJan 6, 2025 to Mar 5, 2025
- Wrap assets (sponsor) · $547M to $655MJan 6, 2025 to Mar 5, 2025
- Accounts · 5 to 1Jul 31, 2023 to Mar 7, 2024
- Advisory employees · 62 to 58Jul 31, 2023 to Mar 7, 2024
- BD registered reps · 59 to 48Jul 31, 2023 to Mar 7, 2024
- Individual clients · 5 to 1Jul 31, 2023 to Mar 7, 2024
- Employees · 62 to 58Jul 31, 2023 to Mar 7, 2024
- State-registered IARs · 62 to 58Jul 31, 2023 to Mar 7, 2024
- Other offices · 16 to 14Jul 31, 2023 to Mar 7, 2024
- Individual RAUM · $1.4M to $730,778Jul 31, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $1.4M to $730,778Jul 31, 2023 to Mar 7, 2024
- RAUM · $1.4M to $730,778Jul 31, 2023 to Mar 7, 2024
- Wrap assets (manager) · $1.4M to $0Jul 31, 2023 to Mar 7, 2024
- Wrap assets (sponsor) · $408M to $547MJul 31, 2023 to Mar 7, 2024
- Accounts · 66 to 5Mar 21, 2023 to Mar 22, 2023
- Advisory employees · 64 to 62Mar 21, 2023 to Mar 22, 2023
- BD registered reps · 50 to 59Mar 21, 2023 to Mar 22, 2023
- Individual clients · 66 to 5Mar 21, 2023 to Mar 22, 2023
- Employees · 64 to 62Mar 21, 2023 to Mar 22, 2023
- State-registered IARs · 64 to 62Mar 21, 2023 to Mar 22, 2023
Signals
60 dated events
- J•••• A• L•••• added a WI registration at U•• F•••••••• S•••••••• I•••Sep 15, 2026 · a•••••• state registration added · fact
- D••• B•••• B•••• added a WI registration at U•• F•••••••• S•••••••• I•••Sep 15, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a MI registration at U•• F•••••••• S•••••••• I•••Sep 14, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a AR registration at U•• F•••••••• S•••••••• I•••Sep 14, 2026 · a•••••• state registration added · fact
- D••• B•••• B•••• added a AR registration at U•• F•••••••• S•••••••• I•••Sep 14, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a FL registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a IL registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a IA registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a PA registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a CA registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- D••• B•••• B•••• added a IL registration at U•• F•••••••• S•••••••• I•••Sep 11, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a CO registration at U•• F•••••••• S•••••••• I•••Sep 10, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a MD registration at U•• F•••••••• S•••••••• I•••Sep 10, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a OK registration at U•• F•••••••• S•••••••• I•••Sep 10, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a TX registration at U•• F•••••••• S•••••••• I•••Sep 10, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a WA registration at U•• F•••••••• S•••••••• I•••Sep 10, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a KS registration at U•• F•••••••• S•••••••• I•••Aug 31, 2026 · a•••••• state registration added · fact
- J•••• A• L•••• added a MO registration at U•• F•••••••• S•••••••• I•••Aug 31, 2026 · a•••••• state registration added · fact
- K•••• C••••••••• H•••• left U•• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-11)Aug 7, 2026 · a•••••• firm change · fact
- 2 advisors left A••••••••• F•••••••• S•••••••• L•• (Schnecksville, PA) for U•• F•••••••• S•••••••• I••• on the same dayJun 5, 2026 · Team lift-out · derived
- S••••• C••••••• L••••• left U•• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-11)May 12, 2026 · a•••••• firm change · fact
- F•••• P•••• B•••• left U•• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-11)May 12, 2026 · a•••••• firm change · fact
- J••••••• L••••• H••••••••• left U•• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-11)May 12, 2026 · a•••••• firm change · fact
- 2 advisors left U•• F•••••••• S•••••••• I••• (Kansas City, MO) for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• on the same dayMay 12, 2026 · Team lift-out · derived
- T•••• A•••••• W••••• left U•• F•••••••• S•••••••• I••• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-11)Apr 30, 2026 · a•••••• firm change · fact
- J•••• R•• T••••• left U•• F•••••••• S•••••••• I••• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-13)Apr 30, 2026 · a•••••• firm change · fact
- W•••• R••••• O••••• left U•• F•••••••• S•••••••• I••• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-13)Apr 30, 2026 · a•••••• firm change · fact
- J••• C••••• left U•• F•••••••• S•••••••• I••• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-11)Apr 30, 2026 · a•••••• firm change · fact
- C••• S••••••• C•••••••• left U•• F•••••••• S•••••••• I••• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-19)Apr 30, 2026 · a•••••• firm change · fact
- 2 advisors left U•• F•••••••• S•••••••• I••• (Kansas City, MO) for U•• P•••••• W••••• M••••••••• L•• on the same dayApr 30, 2026 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- U•• F•••••••• S•••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- tina.nguyen@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- andrew.berry@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- andy.hund@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ann.wilkinson@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- anne.tomlinson@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bill.chiles@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- brett.mcclellan@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bryan.humphreys@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- james.scott@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jordan.randa@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- karie.horsfield@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kirk.anderson@umb.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114,621derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026