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D•••• C•••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

D•••• C•••• N•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

LAFAYETTE, 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:b6b3ffbd-b278-f538-cd79-4d636c5b4c5c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 21, 2008 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 19, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 21, 2021	n/a	yes	LAFAYETTE, IN	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Feb 28, 2017	Aug 6, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 6, 2021	Jul 21, 2021	-16	Firm change	Ibd to wirehouse
C••• S••••••••• C•••••••••	S•••••• N••••••• • C••••••• I•••••••••	Feb 28, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
793:7691:IN:2021-08-06	Aug 6, 2021	Jul 21, 2021	LAFAYETTE, IN	Firm change

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Feb 28, 2017 to Aug 6, 2021factForm ADV
→ C••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Aug 21, 2008 to Feb 28, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6b3ffbd-b278-f538-cd79-4d636c5b4c5c
First observed: Aug 21, 2008
Last observed: Sep 14, 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.