DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

M••••• W•••• R•••

Advisor at S•••••••• A•••••••• L••

Indianapolis, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9d37c5fa-4e50-1ea3-0592-0b2ed31b918c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 15, 1998 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: S•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Sep 28, 2018	n/a	yes	Indianapolis, IN	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Dec 15, 1998	Oct 2, 2018	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|ZIONSVILLE, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••••• A•••••••• L••	Oct 2, 2018	Sep 28, 2018	-4	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:226606:IN:2018-09-18	Oct 2, 2018	Sep 28, 2018	INDIANAPOLIS, IN	Firm change

Relationships

Registered with (2)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 28, 2018 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 15, 1998 to Oct 2, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d37c5fa-4e50-1ea3-0592-0b2ed31b918c
First observed: Dec 15, 1998
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.