DFX Intelligence

D•••• A•••••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

D•••• A•••••••• R•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

INDIANAPOLIS, IN | MUNCIE, IN

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Search this name across graphsid dfx:ria:12a5519b-f6dd-da45-1799-7829df52439b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom 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
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Feb 28, 2017	n/a	yes	INDIANAPOLIS, IN\|MUNCIE, IN	Current employment
C••• S••••••••• C•••••••••	Former SEC adviser	Apr 14, 2004	Feb 28, 2017	no	MUNCIE, IN\|INDIANAPOLIS, IN\|MUNCIE, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• S••••••••• C•••••••••	S•••••• N••••••• • C••••••• I•••••••••	Feb 28, 2017	Feb 28, 2017	0	Bulk transfer	Other
N•••••• I••••••••• I•••	C••• S••••••••• C•••••••••	Apr 15, 2004	Apr 14, 2004

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Feb 28, 2017 to presentfactForm ADV
→ C••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Apr 14, 2004 to Feb 28, 2017factForm ADV
→ N•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 30, 2002 to Apr 15, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12a5519b-f6dd-da45-1799-7829df52439b
First observed: Jul 30, 2002
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.