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PANDI, LLC

KANSAS CITY, MO · CRD 330112 · IAPD ↗ · pandikc.com · 913-437-9900

$1.38BRegulatory AUM
7Advisory reps
20Employees
3Clients
11-25Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
September 2026 — PANDI, LLC notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — PANDI, LLC reported RAUM down 32% ($2.04B -> $1.38B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
June 2025 — PANDI, LLC moved its main office from LEAWOOD, KS to KANSAS CITY, MO.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
49
February 2025 — PANDI, LLC notice-filed in MO, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
75
February 2025 — PANDI, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
66
January 2025 — PANDI, LLC reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
January 2025 — PANDI, LLC now reports custody of client assets ($2.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
October 2024 — PANDI, LLC (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.