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D• M••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

D• M••• S••••

Advisor at C••••••• F•••••••• D••••••• I•••

KOKOMO, IN | Greenwood, IN

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Search this name across graphsid dfx:ria:27b8fb62-9ea4-b01e-f58c-78a24cf7c3ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 3, 1999 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••••••• F•••••••• D••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• F•••••••• D••••••• I•••	Bd affiliated wealth	Jan 13, 2023	n/a	yes	KOKOMO, IN\|Greenwood, IN	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 31, 2016	Jan 25, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	C••••••• F•••••••• D••••••• I•••	Jan 25, 2023	Jan 13, 2023	-12	Firm change	Wirehouse to ibd
C••••••••• F•••••••• N••••••	W•••• F•••• A•••••••	Mar 31, 2016

Relationships

Registered with (5)

→ C••••••• F•••••••• D••••••• I•••Registered adviserregistration: current employment
Jan 13, 2023 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 31, 2016 to Jan 25, 2023factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Nov 12, 2010 to Mar 31, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jan 25, 2023
Advisor changed firm
D• M••• S•••• left W•••• F•••• A••••••• for C••••••• F•••••••• D••••••• I••• (registered 2023-01-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27b8fb62-9ea4-b01e-f58c-78a24cf7c3ee
First observed: Feb 3, 1999
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.