DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

M•••••• R••••••••• F••••

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

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2000 to Sep 15, 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: Dec 17, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom 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	ZIONSVILLE, IN\|INDIANAPOLIS, IN\|MUNCIE, IN\|FORT WAYNE, IN\|INDIANAPOLIS, IN	Current employment
C••• S••••••••• C•••••••••	Former SEC adviser	Feb 15, 2006	Feb 28, 2017	no	FORT WAYNE, IN\|ZIONSVILLE, IN\|FORT WAYNE, IN\|INDIANAPOLIS, IN\|SOUTH BEND, IN\|MUNCIE, IN\|CROWN POINT, IN\|INDIANAPOLIS, IN\|KOKOMO, IN\|LAFAYETTE, 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•••••••••	Feb 28, 2003	Feb 15, 2006

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
Feb 15, 2006 to Feb 28, 2017factForm ADV
→ N•••••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 17, 2000 to Feb 28, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 17, 2000
Last observed: Sep 15, 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.