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

K••••• C••

W•••• F•••• A•••••••wirehouseIndianapolis, Indual registrantIAPD 4951159

Feed of 09/14/2026

Also filed as K••••• A Lemon

At current firm

2 y

since Sep 17, 2024

In the industry

21 y

since May 23, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Sep 17, 2024 · Indianapolis, In
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Sep 17, 2024 · Indianapolis, In
C••••• I••••••••• S••••••• L•• former
Jan 31, 2013 to Jan 21, 2014 · St Cloud, Mn
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jan 23, 2013 · Indianapolis, In
C•••• I••••••••• S••••••• C•••• former
Jul 15, 2009 to Oct 1, 2012 · Brownsburg, In

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••
left Sep 17, 2024, registered Sep 17, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to C••••• I••••••••• S••••••• L••
left Jan 23, 2013, registered Jan 31, 2013 (8 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

K••••• C•• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2024-09-17)
Sep 17, 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address