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

E•••• B••••••

C•••••• S••••• • C••• I•••national BDIndianapolis, Indual registrantIAPD 6419947

Certified Financial Planner

Feed of 09/14/2026

Also filed as E•••• Rose B••••••

At current firm

0 y

since Mar 6, 2026

In the industry

11 y

since Nov 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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•••••• S••••• • C••• I••• national BD current
since Mar 6, 2026 · Indianapolis, In
A••••••• F••••••••• L••• BD affiliated
May 30, 2025 to Feb 17, 2026 · Folsom, Ca
S••••• B•••• I••••••••• A•••••••• L•• former
May 7, 2024 to Sep 12, 2025 · Indianapolis, In
S••••• W••••• A•••••••• I••• no RAUM
Nov 19, 2018 to May 14, 2024 · Indianapolis, In
C•••••• S••••• • C••• I••• national BD
Jul 18, 2017 to Mar 11, 2020 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

A••••••• F••••••••• L••• to C•••••• S••••• • C••• I•••
left Feb 17, 2026, registered Mar 6, 2026 (17 days) · Affiliated broker-dealer or bank to another
S••••• B•••• I••••••••• A•••••••• L•• to A••••••• F••••••••• L•••
left Sep 12, 2025, registered May 30, 2025 (-105 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••• W••••• A•••••••• I••• to S••••• B•••• I••••••••• A•••••••• L••
left May 14, 2024, registered May 7, 2024 (-7 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Mar 11, 2020, registered Nov 19, 2018 (-478 days) · channel change inside one enterprise, not a move

Signals

E•••• B•••••• left A••••••• F••••••••• L••• for C•••••• S••••• • C••• I••• (registered 2026-03-06)
Feb 17, 2026 · Advisor changed firm · fact
E•••• B•••••• left S••••• B•••• I••••••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2025-05-30)
Sep 12, 2025 · Advisor changed firm · fact
E•••• B•••••• left S••••• W••••• A•••••••• I••• for S••••• B•••• I••••••••• A•••••••• L•• (registered 2024-05-07)
May 14, 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address