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.
Registered advisor
Indiana Flores Cary
Feed of 09/14/2026
Also filed as Indiana Cary
At current firm
2 y
since Sep 27, 2023
In the industry
11 y
since Jun 9, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Transamerica Retirement Advisors, LLC BD affiliated currentsince Sep 27, 2023 · Greensboro, Nc
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 13, 2018 to Oct 1, 2021 · Lisle, Il
- J.P. Morgan Securities LLC wirehouseSep 12, 2017 to Apr 11, 2018 · Chicago, Il
- Invesco Advisers, Inc. asset managerJun 10, 2015 to Jul 5, 2016 · Downers Grove, Il
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Transamerica Retirement Advisors, LLCleft Oct 1, 2021, registered Sep 27, 2023 (726 days) · Wirehouse to affiliated broker-dealer or bank
- J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 11, 2018, registered Sep 13, 2018 (155 days) · Wirehouse to wirehouse
- Invesco Advisers, Inc. to J.P. Morgan Securities LLCleft Jul 5, 2016, registered Sep 12, 2017 (434 days) · Other
Signals
No dated event on this person.
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address