DFX Intelligence

L•• D• G•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

L•• D• G•••

Advisor at C•••••• S••••• • C••• I•••

Indianapolis, IN

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Search this name across graphsid dfx:ria:721c9c57-f467-32d5-aae0-8a2ac9c9f8df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 1, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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
C•••••• S••••• • C••• I•••	National bd RIA	Jan 20, 2017	n/a	yes	Indianapolis, IN	Current employment
S••••• W••••• A•••••••• I•••	No RAUM reported	Apr 8, 2015	Jan 20, 2017	no	INDIANAPOLIS, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• W••••• A•••••••• I•••	C•••••• S••••• • C••• I•••	Jan 20, 2017	Jan 20, 2017	0	Channel change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
159035:5393:IN:2017-01-09	Jan 20, 2017	Jan 20, 2017	INDIANAPOLIS, IN	Firm change

Relationships

Registered with (2)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 20, 2017 to presentfactForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 8, 2015 to Jan 20, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:721c9c57-f467-32d5-aae0-8a2ac9c9f8df
First observed: Jan 3, 2012
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.