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.

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Registered advisor

M••••• P•••••• S••••

L•• F•••••••• L••BD affiliatedMerrillville, Indual registrantIAPD 4207049

Feed of 09/14/2026

At current firm

2 y

since Jul 17, 2024

In the industry

26 y

since Aug 9, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 17, 2024 · Merrillville, In
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 16, 2018 to Jul 28, 2024 · Merrillville, In
S••••••• I••••••••• I••• former
May 13, 2016 to Jan 22, 2018 · Merrillville, In
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Oct 10, 2013 to May 13, 2016 · Carmel, In

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left Jul 28, 2024, registered Jul 17, 2024 (-11 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 22, 2018, registered Jan 16, 2018 (-6 days) · Other
T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move

Signals

M••••• P•••••• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-07-17)
Jul 28, 2024 · Advisor changed firm · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address