DFX Intelligence

B•••• C••••••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

B•••• C••••••••• M••••

Advisor at O••••••••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:a564b665-0fc0-2900-0565-63476808b967

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2000 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: O••••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 17, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• S••••••••• I•••	Bd affiliated wealth	Jan 11, 2007	n/a	yes	CARMEL, IN\|INDIANAPOLIS, IN\|Kendallville, IN	Current employment
S•• F•••••••• A•••••••	Independent wealth	Feb 14, 2000	Dec 31, 2006	no	WARSAW, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• F•••••••• A•••••••	O••••••••• S••••••••• I•••	Dec 31, 2006	Jan 11, 2007	11	Firm change	Other

Relationships

Registered with (2)

→ O••••••••• S••••••••• I•••Registered adviserregistration: current employment
Jan 11, 2007 to presentfactForm ADV
→ S•• F•••••••• A•••••••Registered adviserregistration: previous registration
Feb 14, 2000 to Dec 31, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a564b665-0fc0-2900-0565-63476808b967
First observed: Feb 14, 2000
Last observed: Sep 15, 2026 7 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.