DFX Intelligence
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Registered advisor
S•••• E••••• M••••
Feed of 09/14/2026
At current firm
4 y
since Sep 19, 2022
In the industry
26 y
since Dec 10, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••• P•••••• W••••• L••••• state registered currentsince Sep 19, 2022 · Carmel, In
- R•• C•••••• M••••••• L•• national BDSep 10, 2019 to Oct 4, 2022 · Indianapolis, In
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 5, 2019 · Indianapolis, In
- M••••• S•••••• • C•• L•• unclassifiedNov 25, 2008 to Jun 1, 2009 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2004 to Dec 1, 2008 · Indianapolis, In
- A• G• E•••••• • S•••• I••• unclassifiedAug 10, 2000 to Nov 29, 2004 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M•••• P•••••• W••••• L•••••left Oct 4, 2022, registered Sep 19, 2022 (-15 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to R•• C•••••• M••••••• L••left Sep 5, 2019, registered Sep 10, 2019 (5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Dec 1, 2008, registered Nov 25, 2008 (-6 days) · Other
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 29, 2004, registered Nov 1, 2004 (-28 days) · Other
Signals
- ••• LockedOct 4, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address