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
Kenneth Bruce Cohen	Umb Financial Services, Inc. other	Datatex Investment Services Inc other	Other	Nov 3, 2016	Dec 13, 2016 (40 d)
Nicole C Burczyk	Umb Financial Services, Inc. other	Country Club Financial Services, Inc. other	Other	Jun 17, 2016	Oct 5, 2016 (110 d)
Sarah Lynn Russell-Frossard	Umb Financial Services, Inc. other	Arvest Wealth Management other	Other	Apr 29, 2016	May 23, 2016
Tracy Lea Barnas	Umb Financial Services, Inc. other	Arvest Wealth Management other	Other	Apr 19, 2016	May 9, 2016
Laurance Thornton Phister	Umb Financial Services, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 31, 2016	Apr 28, 2016
Brian Nelson Kaufman	Umb Financial Services, Inc. other	Prairie Capital Management Group, LLC asset manager	Other	Feb 4, 2016	Apr 20, 2021 (1902 d)
Michael Mueller Gentry	Umb Financial Services, Inc. other	Prairie Capital Management Group, LLC asset manager	Other	Feb 4, 2016	Apr 20, 2021 (1902 d)
Mark Anthony Schweizer	Umb Financial Services, Inc. no RAUM	Schwab Wealth Advisory, Inc. other	Other	Aug 20, 2015	Nov 24, 2015 (96 d)
Laura Clark Rogers	Umb Financial Services, Inc. no RAUM	Two West Capital Advisors LLC other	Other	Jul 15, 2015	Dec 8, 2015 (146 d)
Marti Lee Brust	Umb Financial Services, Inc. no RAUM	West End Wealth Management, LLC no RAUM	Other	Jul 7, 2015	Jul 2, 2015
Adam Casey Gunning	Umb Financial Services, Inc. no RAUM	Ptma Investment Advisors asset manager	Other	Mar 19, 2015	Sep 27, 2023 (3114 d)
Grant Knowlton	Umb Financial Services, Inc. no RAUM	D.A. Davidson & Co. independent RIA	Other	Jul 10, 2014	Sep 25, 2019 (1903 d)
Jennifer Teresa Murawski	Umb Financial Services, Inc. no RAUM	Mariner Wealth Advisors no RAUM	Other	Jun 19, 2014	Jun 30, 2014
Abraham M. Glaser	Umb Financial Services, Inc. no RAUM	Keel Point, LLC other	Other	Dec 5, 2013	Nov 27, 2013
Charles Patrick Smith	Umb Financial Services, Inc. no RAUM	Wells Fargo Advisors wirehouse	Other	Oct 7, 2013	Aug 12, 2016 (1040 d)
Ryan C Bly	Umb Financial Services, Inc. no RAUM	Commerce Brokerage Services, Inc other	Other	Aug 21, 2013	Aug 26, 2013
Rebecca Lynn Bone	Umb Financial Services, Inc. no RAUM	Plancorp, LLC other	Other	Jul 30, 2013	Mar 5, 2014 (218 d)
Dean Anthony Obenauer	Umb Financial Services, Inc. no RAUM	Ameriprise Financial Services, LLC national BD	Other	Dec 12, 2012	Dec 7, 2012
Markus Frederick Bigbee	Umb Financial Services, Inc. no RAUM	Fintegra, LLC other	Other	Sep 22, 2011	Jul 24, 2012 (306 d)
Rhonda Lee Sorensen	Umb Financial Services, Inc. no RAUM	Valic Financial Advisors, Inc. other	Other	Jul 7, 2011	Jul 3, 2012 (362 d)
Jerry Allen Klusener	Umb Financial Services, Inc. no RAUM	Prospera Financial Services, Inc. other	Other	May 9, 2011	May 31, 2011
Joseph William Michaud	Umb Financial Services, Inc. no RAUM	Prairie Capital Management, LLC other	Other	Jan 4, 2011	Jan 4, 2011
Steven Jay Warta	Umb Financial Services, Inc. no RAUM	Freedom Wealth Advisors, LLC state registered	Other	Jul 8, 2010	Oct 15, 2010 (99 d)
Andrew Joseph Arnold	Umb Financial Services, Inc. no RAUM	Scout Investments, Inc. other	Other	Jun 4, 2009	Jun 4, 2009
Scott Thomas Turley	Umb Financial Services, Inc. no RAUM	Valic Financial Advisors, Inc. BD affiliated	Other	Dec 5, 2008	Oct 21, 2024 (5799 d)
Karen Anne Numi	Umb Financial Services, Inc. no RAUM	Swbc Investment Company other	Other	Jun 24, 2008	Jun 27, 2008
Douglas Eugene Stehl	Umb Financial Services, Inc. no RAUM	Crossroads Asset Management LLC other	Other	Dec 13, 2007	Dec 20, 2007
Scott Gene Holder	Umb Financial Services, Inc. no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Nov 27, 2007	Nov 26, 2007
Kenneth Jason Carter	Umb Financial Services, Inc. no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Nov 27, 2007	Nov 26, 2007
Deanna Louise Moore	Umb Financial Services, Inc. no RAUM	Fas Wealth Partners, Inc. other	Other	Feb 9, 2007	Apr 17, 2009 (798 d)
Darin Wesley Lawhorn	Umb Financial Services, Inc. no RAUM	Woodbury Financial Services, Inc. other	Other	Feb 5, 2007	Feb 5, 2007
Robert Dante Scafa	Umb Financial Services, Inc. no RAUM	Natcity Investments, Inc. unclassified	Other	Oct 27, 2006	Jan 3, 2008 (433 d)
Sarah Anne Johnson	Umb Financial Services, Inc. no RAUM	Cambridge Investment Research Advisors, Inc. other	Other	Oct 11, 2006	Oct 10, 2006
Adam Keith Perkins	Umb Financial Services, Inc. no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Aug 23, 2005	Aug 19, 2005
Camron James Erway	Umb Financial Services, Inc. no RAUM	State Farm Investment Management Corp. other	Other	Jun 25, 2004	Mar 8, 2007 (986 d)
Mark Wheeler Harris	Umb Financial Services, Inc. no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Aug 14, 2003	Jul 18, 2003
Thomas Edward Blumer	Umb Financial Services, Inc. no RAUM	Banc Of America Investment Services, Inc. unclassified	Other	Jul 2, 2003	Oct 16, 2003 (106 d)

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97 moves match.