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

S••••••• L••• M•••••••

L•• F•••••••• L••BD affiliatedFisher, In dual registrantIAPD 6831481

Feed of 09/15/2026

Also filed as S••••••• L••• Schrock

At current firm

3 y

since Aug 22, 2023

In the industry

11 y

since Aug 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

L•• F•••••••• L•• BD affiliated current
since Aug 22, 2023 · Fisher, In
L•• F•••••••• L•• BD affiliated
Jan 12, 2023 to Aug 9, 2023 · Fishers, In
N•••••• A••••••• BD affiliated
Feb 7, 2022 to Jan 4, 2023 · New Orleans, La
S•••••••• A•••••••• L•• BD affiliated
May 31, 2018 to Jan 18, 2022 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

N•••••• A••••••• to L•• F•••••••• L••
left Jan 4, 2023, registered Jan 12, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A•••••••• L•• to N•••••• A•••••••
left Jan 18, 2022, registered Feb 7, 2022 (20 days) · Affiliated broker-dealer or bank to another

Signals

S••••••• L••• M••••••• left N•••••• A••••••• for L•• F•••••••• L•• (registered 2023-01-12)
Jan 4, 2023 · Advisor changed firm · fact
S••••••• L••• M••••••• left S•••••••• A•••••••• L•• for N•••••• A••••••• (registered 2022-02-07)
Jan 18, 2022 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address