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••••• A•• W•••

C••• L••BD affiliatedCarmel, In IA-onlyIAPD 4858175

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••••• Ann Hammond

At current firm

0 y

since Nov 12, 2025

In the industry

21 y

since Dec 8, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• L•• BD affiliated current
since Nov 12, 2025 · Omaha, Ne
T•••• W••••• P•••••••• L•• former
Jan 21, 2022 to Mar 23, 2026 · Carmel, In
H••••• F•••••••• A•••••••• I••• unclassified
Jun 22, 2017 to Jan 6, 2023 · Noblesville, In
C••••••••• F•••••••• N•••••• national BD
Dec 20, 2010 to Mar 27, 2017 · Indianapolis, In
T••••••• S••••••• F•••••••• former
Apr 26, 2010 to Dec 20, 2010 · Indianapolis, In
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 9, 2004 to Apr 29, 2010 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

T•••• W••••• P•••••••• L•• to C••• L••
left Mar 23, 2026, registered Nov 12, 2025 (-131 days) · RIA to affiliated broker-dealer or bank · moved with a team
H••••• F•••••••• A•••••••• I••• to T•••• W••••• P•••••••• L••
left Jan 6, 2023, registered Jan 21, 2022 (-350 days) · Other
C••••••••• F•••••••• N•••••• to H••••• F•••••••• A•••••••• I•••
left Mar 27, 2017, registered Jun 22, 2017 (87 days) · Other
T••••••• S••••••• F•••••••• to C••••••••• F•••••••• N••••••
left Dec 20, 2010, registered Dec 20, 2010 (0 days) · Other
A••••••••• F•••••••• S•••••••• L•• to T••••••• S••••••• F••••••••
left Apr 29, 2010, registered Apr 26, 2010 (-3 days) · Other

Signals

A••••• A•• W••• left T•••• W••••• P•••••••• L•• for C••• L•• (registered 2025-11-12)
Mar 23, 2026 · Advisor changed firm · fact
A••••• A•• W••• left H••••• F•••••••• A•••••••• I••• for T•••• W••••• P•••••••• L•• (registered 2022-01-21)
Jan 6, 2023 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address