DFX Intelligence

S•• E•••• A•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S•• E•••• A•••••••

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

KOKOMO, IN | Kokomo , IN

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Search this name across graphsid dfx:ria:73754ea9-d45b-8738-03e5-a3e82186dd0d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2006 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: C••••••• F•••••••• D••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 25, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• F•••••••• D••••••• I•••	Bd affiliated wealth	Jul 6, 2026	n/a	yes	Kokomo , IN\|KOKOMO, IN	Current employment
P•• W••••• M•••••••••	Bd affiliated wealth	Nov 13, 2009	Jul 7, 2026	no	LOGANSPORT, IN\|CARMEL, IN\|LOGANSPORT, IN\|LOGANSPORT, IN\|LOGANSPORT, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• W••••• M•••••••••	C••••••• F•••••••• D••••••• I•••	Jul 7, 2026	Jul 6, 2026	-1	Firm change	Ibd to ibd
N•••••• I••••••••• I•••	P•• W••••• M•••••••••	Nov 13, 2009	Nov 13, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
129052:109032:IN:2026-07-07	Jul 7, 2026	Jul 6, 2026	LOGANSPORT, IN	Firm change

Relationships

Registered with (3)

→ C••••••• F•••••••• D••••••• I•••Registered adviserregistration: current employment
Jul 6, 2026 to presentfactForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 13, 2009 to Jul 7, 2026factForm ADV
→ N•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 26, 2006 to Nov 13, 2009factForm ADV

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73754ea9-d45b-8738-03e5-a3e82186dd0d
First observed: Jul 26, 2006
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.