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••••• S•••• N•••••

C••••• I••••••••• A••••••• L••BD affiliatedIndianapolis, Indual registrantIAPD 6777960

Feed of 09/14/2026

Also filed as A••••• S N•••••

At current firm

0 y

since Mar 2, 2026

In the industry

14 y

since Aug 1, 2012 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 2, 2026 · Indianapolis, In
S•••• F••• I••••••••• M••••••••• C•••• asset manager
Sep 14, 2023 to Oct 12, 2023 · Grandville, Mi
F••••• I••••••••• independent RIA
Dec 14, 2022 to Mar 28, 2023 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Jul 3, 2019 to Jan 8, 2021 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

S•••• F••• I••••••••• M••••••••• C•••• to C••••• I••••••••• A••••••• L••
left Oct 12, 2023, registered Mar 2, 2026 (872 days) · Other
F••••• I••••••••• to S•••• F••• I••••••••• M••••••••• C••••
left Mar 28, 2023, registered Sep 14, 2023 (170 days) · Other
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Jan 8, 2021, registered Dec 14, 2022 (705 days) · Affiliated broker-dealer or bank to independent RIA

Signals

A••••• S•••• N••••• left S•••• F••• I••••••••• M••••••••• C•••• for C••••• I••••••••• A••••••• L•• (registered 2026-03-02)
Oct 12, 2023 · Advisor changed firm · fact
A••••• S•••• N••••• left F••••• I••••••••• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2023-09-14)
Mar 28, 2023 · 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