DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
INDIANAPOLIS, IN | FOLSOM, CA
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••••••• F••••••••• L••• | Bd affiliated wealth | Jun 9, 2025 | n/a | yes | INDIANAPOLIS, IN|FOLSOM, CA | Current employment |
| S•••••••• S••••• B••••• L•• | Former SEC adviser | May 1, 2023 | Jun 26, 2025 | no | INDIANAPOLIS, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• B•••• I••••••••• A•••••••• L•• | S•••••••• S••••• B••••• L•• | Sep 12, 2025 | May 1, 2023 | -865 | Firm change after gap | RIA to RIA |
| S•••••••• S••••• B••••• L•• | A••••••• F••••••••• L••• | Jun 26, 2025 | Jun 9, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 118739:139417:IN:2025-09-12 | Sep 12, 2025 | May 1, 2023 | INDIANAPOLIS, IN | Firm change after gap |
| 139417:111167:IN:2025-06-26 | Jun 26, 2025 | Jun 9, 2025 | INDIANAPOLIS, IN | Firm change |
| S••••• B•••• I••••••••• A•••••••• L•• | Former SEC adviser | Nov 2, 2018 | Sep 12, 2025 | no | INDIANAPOLIS, IN | Previous registration |
| F••••• M••••• W••••• A•••••••• L•• | Independent wealth | Sep 22, 2008 | Apr 16, 2018 | no | SPRINGFIELD, MO|Indianapolis, IN | Previous registration |
| L••••••• W•••••• I••• | Independent wealth | Dec 18, 2006 | Jun 3, 2009 | no | HOUSTON, TX | Previous registration |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Dec 6, 2002 | Feb 13, 2006 | no | DALLAS, TX | Previous registration |
| -17 |
| Firm change |
| RIA to ibd |
| F••••• M••••• W••••• A•••••••• L•• | S••••• B•••• I••••••••• A•••••••• L•• | Apr 16, 2018 | Nov 2, 2018 | 200 | Firm change | Other |
| L••••••• W•••••• I••• | F••••• M••••• W••••• A•••••••• L•• | Jun 3, 2009 | Sep 22, 2008 | -254 | Firm change after gap | Other |
| G•••••• S•••• W••••• S•••••••• L••• | L••••••• W•••••• I••• | Feb 13, 2006 | Dec 18, 2006 | 308 | Firm change | Other |