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

D••••• M•••••••••

L•• F•••••••• L••BD affiliatedFishers, In dual registrantIAPD 6045567

Feed of 09/14/2026

At current firm

2 y

since Apr 17, 2024

In the industry

14 y

since Jun 1, 2012 (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

L•• F•••••••• L•• BD affiliated current
since Apr 17, 2024 · Fishers, In
A•••••• P••••••• P•••••••• I••• BD affiliated
May 20, 2016 to May 2, 2024 · Indianapolis, In
S••••••••• former
Jan 27, 2016 to Jul 27, 2016 · Indianapolis, In
V••••••• W•••••• L•• state registered
Dec 18, 2015 to Mar 21, 2016 · Indianapolis, In
E••••• J•••• national BD
Aug 13, 2012 to Feb 27, 2014 · Westfield, In

Moves

a registration end followed by a registration begin elsewhere

A•••••• P••••••• P•••••••• I••• to L•• F•••••••• L••
left May 2, 2024, registered Apr 17, 2024 (-15 days) · Affiliated broker-dealer or bank to another
S••••••••• to A•••••• P••••••• P•••••••• I•••
left Jul 27, 2016, registered May 20, 2016 (-68 days) · Other · moved with a team
V••••••• W•••••• L•• to S•••••••••
left Mar 21, 2016, registered Jan 27, 2016 (-54 days) · Other · moved with a team
E••••• J•••• to V••••••• W•••••• L••
left Feb 27, 2014, registered Dec 18, 2015 (659 days) · Affiliated broker-dealer or bank to a state-registered adviser

Signals

D••••• M••••••••• left A•••••• P••••••• P•••••••• I••• for L•• F•••••••• L•• (registered 2024-04-17)
May 2, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address