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
Arrivals at 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 |
|---|---|---|---|---|---|
| Jason A Lewis | Rsg Investments LLC independent RIA | Umb Financial Services, Inc. independent RIA | RIA to RIA | Jun 18, 2026 | Aug 31, 2026 (74 d) |
| John Andrew Schick | Ameriprise Financial Services, LLC national BD | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2026 | Jun 3, 2026 |
| Andrei Weber | Ameriprise Financial Services, LLC national BD | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2026 | Jun 3, 2026 |
| Roy C Lines | LPL Financial LLC BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2026 | Mar 24, 2026 |
| Candace L. Montoya | J.P. Morgan Securities LLC wirehouse | Umb Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 15, 2026 | Mar 3, 2026 |
| Mary Therese Ryan | LPL Financial LLC BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2025 | Aug 15, 2025 |
| Gavin Johnson Doyle | LPL Financial LLC BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2025 | Aug 15, 2025 |
| Daniel Joseph Shearman | Edelman Financial Engines independent RIA | Umb Financial Services, Inc. independent RIA | RIA to RIA | Apr 30, 2025 | Nov 14, 2025 (198 d) |
| Matthew Kirk Reeves | LPL Financial LLC BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2024 | Jan 10, 2025 (92 d) |
| Cathy Renee Keen | Wells Fargo Advisors wirehouse | Umb Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 13, 2024 | May 22, 2024 (99 d) |
| Michael Toofik Simon | Ameriprise Financial Services, LLC national BD | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2024 | Apr 11, 2024 (78 d) |
| Jason Thomas Buford | Convergence Financial independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 17, 2024 | Jan 23, 2024 |
| Dail Brown Blake | Money Concepts Advisory Service BD affiliated | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2023 | Aug 18, 2025 (626 d) |
| Samantha M Licko | Morgan Stanley wirehouse | Umb Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Oct 31, 2023 | Jul 15, 2025 (623 d) |
| Steven Paul Anderson | Triune Financial Partners, LLC independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 27, 2023 | Feb 15, 2023 |
| Cody Stratton Carpenter | Creative Planning independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 2, 2022 | Sep 9, 2022 (38 d) |
| Landon Mark Jensen | LPL Financial LLC independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 13, 2022 | Jul 14, 2022 (31 d) |
| Jessica O'Shea | Ameriprise Financial Services, LLC national BD | Umb Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2022 | Apr 21, 2026 (1488 d) |
| Jeffery Wagner | Copper Financial independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 22, 2021 | Sep 13, 2022 (295 d) |
| Benjamin Joseph Skilling | LPL Financial LLC BD affiliated | Umb Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2021 | Oct 21, 2021 (42 d) |
| Shane W Toner | Copper Financial independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 4, 2021 | Dec 14, 2021 (285 d) |
| Joshua David Schultheis | Piper Sandler & Co. other | Umb Financial Services, Inc. BD affiliated | Other | Jan 21, 2020 | Mar 10, 2020 (49 d) |
| James William Peavey | Rubinbrown Advisors LLC independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 22, 2019 | Jul 12, 2019 |
| John Kim | Bok Financial Private Wealth, Inc. independent RIA | Umb Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 16, 2019 | Feb 28, 2024 (1657 d) |
| Richard Riley Pratt | Morgan Stanley wirehouse | Umb Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 13, 2019 | Mar 11, 2019 |
| Matthew Roger Lunde | Wells Fargo Advisors wirehouse | Umb Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 4, 2019 | Mar 11, 2019 (66 d) |
| Christian Alexander Duaine | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Umb Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 19, 2018 | Mar 16, 2022 (1183 d) |
| Tylor Anthony Willis | Northwestern Mutual Investment Services,LLC no RAUM | Umb Financial Services, Inc. BD affiliated | Other | Mar 13, 2018 | Mar 22, 2018 |
| Luke Ryan Mccarty | Raymond James Financial Services Advisors, Inc BD affiliated | Umb Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2018 | Mar 5, 2018 (31 d) |
| Craig Herman Sutherland | Central States Capital Markets, LLC other | Umb Financial Services, Inc. other | Other | Jan 22, 2018 | Feb 5, 2018 |
| Abraham William Radmanesh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Umb Financial Services, Inc. other | Other | Oct 31, 2017 | Nov 3, 2017 |
| Karen Anne Numi | Swbc Investment Company other | Umb Financial Services, Inc. other | Other | Sep 11, 2017 | Sep 12, 2017 |
| Kenneth David Dow | Wells Fargo Advisors wirehouse | Umb Financial Services, Inc. other | Other | Aug 30, 2017 | Oct 20, 2017 (51 d) |
| Thomas Scott Woodward | RBC Capital Markets, LLC national BD | Umb Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2017 | Apr 19, 2023 (2171 d) |
| David Jonathan Dershteller | Pnc Wealth Management other | Umb Financial Services, Inc. other | Other | May 2, 2017 | Nov 13, 2017 (195 d) |
| Milissa Marie Hengel | Cuso Financial Services, L.P. other | Umb Financial Services, Inc. other | Other | Apr 13, 2017 | Jul 19, 2017 (97 d) |
| James Francis Mancuso | Cetera Advisors LLC other | Umb Financial Services, Inc. BD affiliated | Other | Aug 30, 2016 | Aug 27, 2018 (727 d) |
| Jeremy Blaine Stauss | Bb&T Investment Services, Inc. other | Umb Financial Services, Inc. other | Other | Aug 1, 2016 | Aug 26, 2016 |
| Bradford A Hutchins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Umb Financial Services, Inc. other | Other | Jul 21, 2016 | Jul 15, 2016 |
| Kevin Christopher Hosey | Bancwest Investment Services, Inc. (Bwis) other | Umb Financial Services, Inc. other | Other | Apr 25, 2016 | Apr 27, 2016 |
| Alexis Barling | Financial Engines Advisor Center, LLC other | Umb Financial Services, Inc. no RAUM | Other | Nov 11, 2015 | Nov 23, 2015 |
| Christopher Charles Schroeder | Advice And Planning Services other | Umb Financial Services, Inc. no RAUM | Other | Oct 9, 2015 | Oct 29, 2015 |
| David M. Compere | Lawing Financial Inc other | Umb Financial Services, Inc. no RAUM | Other | Sep 9, 2015 | Sep 17, 2015 |
| Ralph Anthony Nicosia | Bb&T Investment Services, Inc. no RAUM | Umb Financial Services, Inc. no RAUM | Other | Jun 5, 2015 | Nov 9, 2015 (157 d) |
| Jimmy Ray Turner | Sii Investments, Inc. other | Umb Financial Services, Inc. BD affiliated | Other | Jan 28, 2015 | May 22, 2018 (1210 d) |
| Kevin Malone | Td Ameritrade Investment Management, LLC other | Umb Financial Services, Inc. no RAUM | Other | Jan 20, 2015 | Apr 14, 2015 (84 d) |
| Daniel William Weeks | Sound Stewardship, LLC other | Umb Financial Services, Inc. no RAUM | Other | Jun 30, 2014 | Oct 21, 2014 (113 d) |
| Darci Nicole Emerson | Cnbs other | Umb Financial Services, Inc. no RAUM | Other | Jun 27, 2014 | Aug 21, 2014 (55 d) |
| Laura Clark Rogers | Cavanal Hill Investment Management, Inc. other | Umb Financial Services, Inc. no RAUM | Other | Apr 16, 2014 | Jun 2, 2014 (47 d) |
| Michael D Cleveland | Edward Jones national BD | Umb Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2014 | Nov 15, 2021 (2782 d) |
| Jake Crater | J.P. Morgan Securities LLC wirehouse | Umb Financial Services, Inc. independent RIA | Wirehouse to independent RIA | May 15, 2012 | Oct 7, 2024 (4528 d) |
| Abraham M. Glaser | Country Club Financial Services, Inc. other | Umb Financial Services, Inc. no RAUM | Other | Jan 5, 2011 | Jan 5, 2011 |
| Dean Anthony Obenauer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Umb Financial Services, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 22, 2010 | Oct 21, 2010 |
| Daniel Joseph Horan | Ameriprise Financial Services, LLC national BD | Umb Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2010 | Mar 1, 2019 (3224 d) |
| Charles Patrick Smith | Morgan Stanley wirehouse | Umb Financial Services, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 23, 2009 | Jun 23, 2009 |
| Kimberly Ann Gattis | Banc Of America Investment Services, Inc. unclassified | Umb Financial Services, Inc. no RAUM | Other | May 27, 2009 | Jun 12, 2009 |
| Rhonda Lee Sorensen | Banc Of America Investment Services, Inc. unclassified | Umb Financial Services, Inc. no RAUM | Other | Apr 15, 2009 | Apr 20, 2009 |
| Peter George Menihan | Country Club Financial Services, Inc. other | Umb Financial Services, Inc. no RAUM | Other | Apr 14, 2009 | Sep 18, 2012 (1253 d) |
| Aaron Israelite | Banc Of America Investment Services, Inc. unclassified | Umb Financial Services, Inc. no RAUM | Other | Mar 30, 2009 | Jan 27, 2012 (1033 d) |
| Kenneth Bruce Cohen | R.T. Jones Capital Equities, Inc. unclassified | Umb Financial Services, Inc. no RAUM | Other | Jul 28, 2008 | Jul 31, 2008 |
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71 moves match.