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

B••••••• R••••• B•••••••

O•••• W•••••• I•••BD affiliatedGranger, Indual registrantIAPD 2740236

Feed of 09/14/2026

At current firm

2 y

since Jan 19, 2024

In the industry

30 y

since Jun 10, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jan 19, 2024 · Granger, In
W••••••• F•••••••• S•••••••• I••• former
Jun 14, 2021 to Jan 19, 2024 · Carmel, In
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 22, 2017 to Jun 15, 2021 · Mishawaka, In
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 25, 2009 to Aug 23, 2017 · South Bend, In
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Aug 25, 2009 · Elkhart, In
B••• O•• S••••••••• C••••••••• unclassified
Oct 27, 2003 to Jul 6, 2005 · Elkhart, In
E•••••• A••••••• S•••••••• I••• unclassified
Sep 13, 2002 to Jun 11, 2003 · Mishawaka, In
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 12, 2001 to Sep 13, 2002 · Portage, Mi

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Jun 15, 2021, registered Jun 14, 2021 (-1 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Aug 23, 2017, registered Aug 22, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 25, 2009, registered Aug 25, 2009 (0 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
E•••••• A••••••• S•••••••• I••• to B••• O•• S••••••••• C•••••••••
left Jun 11, 2003, registered Oct 27, 2003 (138 days) · Other
A••••••••• F•••••••• S•••••••• L•• to E•••••• A••••••• S•••••••• I•••
left Sep 13, 2002, registered Sep 13, 2002 (0 days) · Other

Signals

No dated event on this person.

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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address