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.
Advisor moves
Departures from Umb Financial Services, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Kevin Christopher Hosey | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2026 | May 11, 2026 |
| Tyler Mcallister | Umb Financial Services, Inc. independent RIA | Strategic Advisers LLC national BD | RIA to affiliated broker-dealer or bank | Aug 4, 2026 | Sep 14, 2026 (41 d) |
| Franz Peter Braun | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 12, 2026 | May 11, 2026 |
| Stacia Charlene Lykins | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 12, 2026 | May 11, 2026 |
| Jennifer Leanne Hershberger | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 12, 2026 | May 11, 2026 |
| Jimmy Ray Turner | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 30, 2026 | May 13, 2026 |
| Wayne Robert Oltjen | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 30, 2026 | May 13, 2026 |
| Jake Crater | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 30, 2026 | May 11, 2026 |
| Cody Stratton Carpenter | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 30, 2026 | May 19, 2026 |
| Tylor Anthony Willis | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 30, 2026 | May 11, 2026 |
| Kimberly Ann Gattis | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 14, 2026 | May 11, 2026 |
| Benjamin Joseph Skilling | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 14, 2026 | May 13, 2026 |
| Abraham William Radmanesh | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 14, 2026 | May 11, 2026 |
| Steven Paul Anderson | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 14, 2026 | May 12, 2026 |
| Landon Mark Jensen | Umb Financial Services, Inc. independent RIA | Umb Private Wealth Management, LLC asset manager | Other | Apr 14, 2026 | May 11, 2026 |
| Mary Therese Ryan | Umb Financial Services, Inc. independent RIA | U.S. Bancorp Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 31, 2026 | Apr 1, 2026 |
| Daniel Joseph Horan | Umb Financial Services, Inc. independent RIA | Thrivent Investment Management Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2026 | Apr 14, 2026 (33 d) |
| Thomas Scott Woodward | Umb Financial Services, Inc. independent RIA | First National Advisers, LLC mixed wealth | RIA to RIA | Oct 14, 2025 | Oct 30, 2025 |
| Matthew Jeffrey Connell | Umb Financial Services, Inc. independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 12, 2025 | Aug 18, 2025 |
| Ju Hui Sirithasack | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jun 25, 2025 | Aug 27, 2025 (63 d) |
| Jason Thomas Buford | Umb Financial Services, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 6, 2025 | May 12, 2025 |
| David M. Compere | Umb Financial Services, Inc. independent RIA | Prosperity Financial Group state registered | RIA to a state-registered adviser | Apr 8, 2025 | Apr 24, 2025 |
| Ralph Anthony Nicosia | Umb Financial Services, Inc. independent RIA | Ae Wealth Management, LLC independent RIA | RIA to RIA | Jan 10, 2025 | Mar 7, 2025 (56 d) |
| John Kim | Umb Financial Services, Inc. independent RIA | Huntington Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2024 | Nov 7, 2024 |
| Dominic Vincent Saladino | Umb Financial Services, Inc. independent RIA | Creative Planning independent RIA | RIA to RIA | Oct 2, 2024 | Oct 14, 2024 |
| Jeffery Wagner | Umb Financial Services, Inc. independent RIA | Ae Wealth Management, LLC independent RIA | RIA to RIA | Sep 26, 2024 | Oct 7, 2024 |
| Bradley A Barclay | Umb Financial Services, Inc. BD affiliated | Northland Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2023 | Oct 13, 2025 (719 d) |
| Jeanette Erika Gecse Harriman | Umb Financial Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2023 | Aug 29, 2023 |
| Thomas Michael Pittala | Umb Financial Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2023 | Aug 29, 2023 |
| Terri Sue Roberts Munsell | Umb Financial Services, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 6, 2023 | Jun 6, 2023 |
| James William Peavey | Umb Financial Services, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2022 | Apr 23, 2026 (1221 d) |
| Jason Thomas Buford | Umb Financial Services, Inc. BD affiliated | Convergence Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2022 | Dec 9, 2022 |
| Christian Alexander Duaine | Umb Financial Services, Inc. BD affiliated | Texas Capital Bank Private Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2022 | Nov 2, 2023 (491 d) |
| Kevin Malone | Umb Financial Services, Inc. BD affiliated | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2021 | Dec 8, 2021 |
| Susan Cherry Pollick | Umb Financial Services, Inc. BD affiliated | Msh Capital Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2021 | Jan 12, 2023 (429 d) |
| Joshua David Schultheis | Umb Financial Services, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2021 | Jun 3, 2021 |
| John Thurlow | Umb Financial Services, Inc. BD affiliated | Prairie Capital Management Group, LLC asset manager | Other | Apr 1, 2021 | Apr 20, 2021 |
| Richard Riley Pratt | Umb Financial Services, Inc. BD affiliated | Prairie Capital Management Group, LLC asset manager | Other | Apr 1, 2021 | Apr 20, 2021 |
| Mary Jeannette Lucas | Umb Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2021 | Mar 29, 2021 (69 d) |
| Milissa Marie Hengel | Umb Financial Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2020 | Oct 13, 2020 (82 d) |
| Bradford A Hutchins | Umb Financial Services, Inc. BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2020 | Jul 3, 2020 |
| Matthew Garret Gross | Umb Financial Services, Inc. BD affiliated | Empower Advisory Group, LLC institutional | Other | Mar 10, 2020 | Oct 20, 2020 (224 d) |
| Christopher Charles Schroeder | Umb Financial Services, Inc. BD affiliated | Claris Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2020 | Apr 20, 2020 (90 d) |
| Casey C. Wythers | Umb Financial Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 8, 2019 | Mar 29, 2021 (507 d) |
| Elizabeth Haynes | Umb Financial Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Oct 21, 2019 |
| Luke Ryan Mccarty | Umb Financial Services, Inc. BD affiliated | Prostatis Financial Advisors Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2019 | Oct 30, 2019 (69 d) |
| James Francis Mancuso | Umb Financial Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 24, 2019 | Aug 1, 2019 |
| Alexis Barling | Umb Financial Services, Inc. BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2018 | Jul 19, 2018 |
| Jeremy Blaine Stauss | Umb Financial Services, Inc. BD affiliated | Bb&T Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | Jun 15, 2018 |
| Peter George Menihan | Umb Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2018 | Mar 21, 2024 (2191 d) |
| David Jonathan Dershteller | Umb Financial Services, Inc. other | Key Investment Services LLC BD affiliated | Other | Jan 17, 2018 | Feb 16, 2018 |
| Charles Anthony Beach | Umb Financial Services, Inc. other | Voya Financial Advisors, Inc. other | Other | Nov 7, 2017 | Nov 2, 2017 |
| William Andrew Brinkmeyer | Umb Financial Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 30, 2017 | Jun 26, 2017 |
| Christopher Albert Lord | Umb Financial Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 30, 2017 | Jun 29, 2017 |
| Aaron Israelite | Umb Financial Services, Inc. other | Bok Financial Advisors other | Other | May 10, 2017 | May 10, 2017 |
| Andrew Lee Williams | Umb Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Apr 17, 2017 | Apr 18, 2017 |
| Joseph Nathaniel Ponce | Umb Financial Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 17, 2017 | Apr 27, 2017 |
| Sampson James Norton | Umb Financial Services, Inc. other | MML Investors Services, LLC other | Other | Mar 9, 2017 | Sep 18, 2017 (193 d) |
| Lisa Ann Hock | Umb Financial Services, Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Nov 3, 2016 | Nov 7, 2016 |
| Craig J Reid | Umb Financial Services, Inc. other | Country Club Financial Services, Inc. other | Other | Nov 3, 2016 | Jan 13, 2017 (71 d) |
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97 moves match.