DFX Intelligence
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Reading the graph
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Advisor at R•• A•••••••• L••
Corydon, IN | VESTAVIA HILLS, AL
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 |
|---|---|---|---|---|---|---|
| R•• A•••••••• L•• | Independent wealth | Jul 16, 2026 | n/a | yes | Corydon, IN|VESTAVIA HILLS, AL | Current employment |
| F•••••• | Independent wealth | Aug 15, 2025 | Jul 20, 2026 | no | SAN FRANCISCO, CA|Corydon, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••• | R•• A•••••••• L•• | Jul 20, 2026 | Jul 16, 2026 | -4 | Firm change | RIA to RIA |
| C••••••••• F•••••••• N•••••• | F•••••• | Aug 11, 2025 | Aug 15, 2025 |
| C••••••••• F•••••••• N•••••• | National bd RIA | Sep 21, 2022 | Aug 11, 2025 | no | WALTHAM, MA|Corydon, IN | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 29, 2017 | Sep 29, 2022 | no | PALMYRA, IN|NEW ALBANY, IN|Greenville, IN|SHEPHARDSVILLE, KY|JEFFERSONVILLE, IN|CORYDON, IN|FLOYDS KNOBS, IN|NEW ALBANY, IN|PALMYRA, IN|SHEPHARDSVILLE, KY|JEFFERSONVILLE, IN|NEW ALBANY, IN|NEW ALBANY, IN|FLOYDS KNOBS, IN|GREENVILLE, IN | Previous registration |
| I••••••••• C•••••• O• A••••••• I••• | Former SEC adviser | Aug 26, 2013 | Dec 6, 2017 | no | BISMARCK, ND|CORYDON, IN|PALMYRA, IN|NEW ALBANY, IN|FLOYDS KNOBS, IN|Greenville, IN|SHEPHARDSVILLE, KY|NEW ALBANY, IN|JEFFERSONVILLE, IN|APPLETON, WI | Previous registration |
| L•••••• I••••••••• | Independent wealth | Mar 10, 2011 | Aug 28, 2013 | no | NEW ALBANY, IN|CORYDON, IN|CORYDON, IN|CINCINNATI, OH | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Nov 5, 2009 | Feb 22, 2011 | no | LOUISVILLE, KY | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | May 28, 2008 | Oct 30, 2009 | no | CORYDON, IN|CLARKSVILLE, IN|CORYDON, IN|SELLERSBURG, IN|NEW ALBANY, IN | Previous registration |
| Firm change |
| Ibd to RIA |
| L•• F•••••••• L•• | C••••••••• F•••••••• N•••••• | Sep 29, 2022 | Sep 21, 2022 | -8 | Firm change | RIA to ibd |
| I••••••••• C•••••• O• A••••••• I••• | L•• F•••••••• L•• | Dec 6, 2017 | Nov 29, 2017 | -7 | Bulk transfer | Other |
| L•••••• I••••••••• | I••••••••• C•••••• O• A••••••• I••• | Aug 28, 2013 | Aug 26, 2013 | -2 | Firm change | Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | L•••••• I••••••••• | Feb 22, 2011 | Mar 10, 2011 | 16 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Oct 30, 2009 | Nov 5, 2009 | 6 | Firm change | Other |