DFX Intelligence

S•••• G•••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S•••• G•••••• A••••

Advisor at O••••••••• S••••••••• I•••

Carmel, IN | INDIANAPOLIS, IN

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Search this name across graphsid dfx:ria:0287b36e-a3f9-8015-b1bc-ae375233717f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: O••••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 26, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• S••••••••• I•••	Bd affiliated wealth	Nov 22, 2016	n/a	yes	Carmel, IN\|INDIANAPOLIS, IN	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jun 11, 2014	Nov 3, 2016	no	Indianapolis, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	O••••••••• S••••••••• I•••	Nov 3, 2016	Nov 22, 2016	19	Firm change	Other
E•••• S••••••••• L••	M•• I•••••••• S•••••••• L••	May 9, 2014	Jun 11, 2014

Relationships

Registered with (3)

→ O••••••••• S••••••••• I•••Registered adviserregistration: current employment
Nov 22, 2016 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 11, 2014 to Nov 3, 2016factForm ADV
→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Dec 20, 2012 to May 9, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0287b36e-a3f9-8015-b1bc-ae375233717f
First observed: Dec 20, 2012
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.