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

A•••• L•• S••••

O•••• W•••••• I•••BD affiliatedCarmel, Indual registrantIAPD 4328543

Feed of 09/14/2026

Also filed as A•••• L. S••••

At current firm

1 y

since Feb 18, 2025

In the industry

25 y

since Mar 1, 2001 (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

O•••• W•••••• I••• BD affiliated current
since Feb 18, 2025 · Carmel, In
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Feb 20, 2025 · Indianapolis, In
P•••• S••••••••• L•• no RAUM
Mar 5, 2024 to Nov 14, 2024 · Fishers, In
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jan 9, 2024 · Carmel, In
T• A••••••••• I••• former
Feb 27, 2018 to Oct 14, 2022 · Indianapolis, In
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Sep 7, 2023 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Mar 20, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to O•••• W•••••• I•••
left Feb 20, 2025, registered Feb 18, 2025 (-2 days) · Other
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to P•••• S••••••••• L••
left Jan 9, 2024, registered Mar 5, 2024 (56 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

A•••• L•• S•••• left L•• E••••••••• L•• for O•••• W•••••• I••• (registered 2025-02-18)
Feb 20, 2025 · Advisor changed firm · fact
A•••• L•• S•••• left C•••••• S••••• • C••• I••• for P•••• S••••••••• L•• (registered 2024-03-05)
Jan 9, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address