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•••• B•••• O••••

C••••• I••••••••• A••••••• L••BD affiliatedFishers, Indual registrantIAPD 5812327

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••• B•••• O••••

At current firm

1 y

since Dec 12, 2024

In the industry

10 y

since Nov 1, 2015 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 12, 2024 · Fishers, In
P••• A••••• S••••••••• L•• BD affiliated
Aug 24, 2020 to Dec 19, 2024 · Indianapolis, In
E••••• J•••• national BD
Dec 9, 2019 to Mar 6, 2020 · Carmel, In
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Feb 8, 2018 to Nov 26, 2019 · Indianapolis, In
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 23, 2016 to Jan 26, 2017 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 19, 2024, registered Dec 12, 2024 (-7 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to P••• A••••• S••••••••• L••
left Mar 6, 2020, registered Aug 24, 2020 (171 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••
left Nov 26, 2019, registered Dec 9, 2019 (13 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 26, 2017, registered Feb 8, 2018 (378 days) · Other

Signals

A•••• B•••• O•••• left P••• A••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-12-12)
Dec 19, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address