DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

S••••• M•••••• W••••

Advisor at C•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:cc8eab78-6ba0-31f1-bc21-7146b7084418

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2001 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: C•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 3, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• F•••••••• I••••••••• A••••••• L••	Institutional manager	Sep 3, 2024	n/a	yes	CARMEL, IN	Current employment
C•••••• A•••••••	Bd affiliated wealth	Jun 4, 2012	n/a	yes	CARMEL, IN	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• A•••••••• I••	L•••••• I•••••••••	Jun 1, 2012	Jun 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (4)

→ S••••••• F•••••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 3, 2024 to presentfactForm ADV
→ C•••••• A•••••••Registered adviserregistration: current employment
Jun 4, 2012 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Jun 1, 2012 to presentfactForm ADV
→ C••••••••• A•••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc8eab78-6ba0-31f1-bc21-7146b7084418
First observed: Jan 3, 2001
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.