DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Sep 5, 2025 | no | INDIANAPOLIS, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| 1•• G••••• A••••••• I•• | A•••••• A••••••• S••••••• | Oct 25, 2019 | Oct 25, 2019 |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Feb 6, 2008 | Oct 25, 2019 | no | INDIANAPOLIS, IN | Previous registration |
| T•• F•••••••• J••••••• | Former SEC adviser | Dec 5, 2001 | Apr 15, 2008 | no | INDIANAPOLIS, IN | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| T•• F•••••••• J••••••• | 1•• G••••• A••••••• I•• | Apr 15, 2008 | Feb 6, 2008 | -69 | Firm change after gap | Other |