DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••• C•••••• C•••

L•• E••••••••• L••BD affiliatedIndianapolis, Indual registrantIAPD 1150120

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as K•••• C C•••

At current firm

1 y

since Feb 4, 2025

In the industry

35 y

since Dec 11, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Feb 4, 2025 · Indianapolis, In
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 14, 2010 to Mar 18, 2025 · Carmel, In
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 4, 2009 to Apr 13, 2010 · Indianapolis, In
C••••• I••••••••• S••••••• L•• former
Aug 11, 2008 to Dec 2, 2008 · Lafayette, In
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Sep 20, 2007 to Aug 12, 2008 · Lafayette, In
I••••• F•••••••• C••••••••• former
Feb 27, 2006 to Aug 17, 2007 · Zionsville, In
A••••••••• A•••••• S•••••••• I••• unclassified
Jan 17, 2006 to Feb 16, 2006 · Indianapolis, In
I••• S••••••••• I••• unclassified
Sep 5, 2003 to Jan 9, 2006 · Indianapolis, In
E•••••••• A•••••••• L•• national BD
Nov 1, 2001 to Oct 15, 2002 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to L•• E••••••••• L••
left Mar 18, 2025, registered Feb 4, 2025 (-42 days) · Affiliated broker-dealer or bank to a newly registered adviser
A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Apr 13, 2010, registered Oct 14, 2010 (184 days) · Other
C••••• I••••••••• S••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 2, 2008, registered Mar 4, 2009 (92 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••
left Aug 12, 2008, registered Aug 11, 2008 (-1 days) · Other
I••••• F•••••••• C••••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Aug 17, 2007, registered Sep 20, 2007 (34 days) · Other
A••••••••• A•••••• S•••••••• I••• to I••••• F•••••••• C•••••••••
left Feb 16, 2006, registered Feb 27, 2006 (11 days) · Other
I••• S••••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Jan 9, 2006, registered Jan 17, 2006 (8 days) · Other
E•••••••• A•••••••• L•• to I••• S••••••••• I•••
left Oct 15, 2002, registered Sep 5, 2003 (325 days) · Other

Signals

K•••• C•••••• C••• left V•••• F•••••••• A•••••••• I••• for L•• E••••••••• L•• (registered 2025-02-04)
Mar 18, 2025 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address