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

S•••• G••• W••••••

M••••••BD affiliatedIndianapolis, InIA-onlyIAPD 5571168

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• G••• W••••••

At current firm

2 y

since Jun 18, 2024

In the industry

18 y

since Sep 9, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

n/a

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Jun 18, 2024 · Indianapolis, In
A•••••• P••••••• P•••••••• I••• BD affiliated
Jul 10, 2012 to Jun 26, 2024 · Mccordsville, In
F••••• M••••• W••••• A•••••••• L•• independent RIA
Nov 19, 2009 to Jun 11, 2012 · Indianapolis, In
H•••••• F•••••••• A•••••••• L•• unclassified
Sep 9, 2008 to Feb 17, 2010 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

A•••••• P••••••• P•••••••• I••• to M••••••
left Jun 26, 2024, registered Jun 18, 2024 (-8 days) · Affiliated broker-dealer or bank to another
F••••• M••••• W••••• A•••••••• L•• to A•••••• P••••••• P•••••••• I•••
left Jun 11, 2012, registered Jul 10, 2012 (29 days) · Other
H•••••• F•••••••• A•••••••• L•• to F••••• M••••• W••••• A•••••••• L••
left Feb 17, 2010, registered Nov 19, 2009 (-90 days) · Other

Signals

S•••• G••• W•••••• left A•••••• P••••••• P•••••••• I••• for Mariner (registered 2024-06-18)
Jun 26, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address