DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••• W••••• M••••••••• L••
Indianapolis, IN | MOUNT PLEASANT, SC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| A•••••• W••••• M••••••••• L•• | Independent wealth | Jan 9, 2026 | n/a | yes | Indianapolis, IN|MOUNT PLEASANT, SC | Current employment |
| S••• A••••••• L•• | Former SEC adviser | Mar 15, 2022 | Feb 9, 2026 | no | INDIANAPOLIS, IN|Indianapolis, IN|BOULDER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••• A••••••• L•• | A•••••• W••••• M••••••••• L•• | Feb 9, 2026 | Jan 9, 2026 | -31 | Firm change after gap | RIA to RIA |
| U••••• C•••••• F•••••••• A••••••• | S••• A••••••• L•• | Dec 23, 2021 | Mar 15, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 106328:134600:IN:2015-05-28 | May 28, 2015 | Mar 27, 2015 | INDIANAPOLIS, IN | Firm change after gap |
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Mar 27, 2015 | Dec 23, 2021 | no | INDIANAPOLIS, IN | Previous registration |
| C• C•••••• M••••••••• I•• | Former SEC adviser | Jan 14, 1994 | May 28, 2015 | no | INDIANAPOLIS, IN | Previous registration |
| 82 |
| Firm change |
| Ibd to RIA |
| C• C•••••• M••••••••• I•• | U••••• C•••••• F•••••••• A••••••• | May 28, 2015 | Mar 27, 2015 | -62 | Firm change after gap | Other |