DFX Intelligence

T••••• F•••••• M••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

T••••• F•••••• M••••••••

Advisor at C•••••••

Chesterton, IN

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Search this name across graphsid dfx:ria:22457d28-8614-a549-8014-a1eb0f1e82c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 2, 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: C•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Mar 14, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	May 6, 2020	n/a	yes	Chesterton, IN	Current employment
L••••••• W••••• M••••••••• G••••• L••	Former SEC adviser	Mar 3, 2017	Jun 30, 2020	no	CHESTERTON, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• W••••• M••••••••• G••••• L••	C•••••••	Jun 30, 2020	May 6, 2020	-55	Firm change after gap	Other
W•••• F•••• A•••••••	L••••••• W••••• M••••••••• G••••• L••	Mar 9, 2017	Mar 3, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
140271:175112:IN:2020-06-30	Jun 30, 2020	May 6, 2020	CHESTERTON, IN	Firm change after gap

Relationships

Registered with (5)

→ C•••••••Registered adviserregistration: current employment
May 6, 2020 to presentfactForm ADV
→ L••••••• W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
Mar 3, 2017 to Jun 30, 2020factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 2, 2009 to Mar 9, 2017factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22457d28-8614-a549-8014-a1eb0f1e82c0
First observed: Apr 2, 2002
Last observed: Sep 14, 2026 8 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.