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••••

C••••• I••••••••• A••••••• L••BD affiliatedFort Wayne, Indual registrantIAPD 7021491

Feed of 09/14/2026

Also filed as A••• D S••••

At current firm

3 y

since Apr 10, 2023

In the industry

10 y

since Aug 1, 2016 (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 Apr 10, 2023 · Fort Wayne, In
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jun 27, 2022 to Feb 20, 2023 · Fort Wayne,, In
F•••••••• W••••• A•••••••• L•• state registered
Jul 20, 2021 to Feb 7, 2023 · Fort Wayne, In
L•• F•••••••• L•• BD affiliated
May 3, 2021 to Jun 29, 2022 · Fort Wayne, In
B••••••••• C•••••• M••••••••• L•• independent RIA
Jan 13, 2020 to May 3, 2021 · Wheaton, Il
C•••••• A••••••• BD affiliated
Mar 5, 2019 to Sep 19, 2019 · Bluffton, In
L•••••• I••••••••• independent RIA
Mar 5, 2019 to Sep 19, 2019 · Ft. Wayne, In

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Feb 20, 2023, registered Apr 10, 2023 (49 days) · Affiliated broker-dealer or bank to another
F•••••••• W••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 7, 2023, registered Jun 27, 2022 (-225 days) · Other
L•• F•••••••• L•• to F•••••••• W••••• A•••••••• L••
left Jun 29, 2022, registered Jul 20, 2021 (-344 days) · RIA to a state-registered adviser
B••••••••• C•••••• M••••••••• L•• to L•• F•••••••• L••
left May 3, 2021, registered May 3, 2021 (0 days) · RIA to affiliated broker-dealer or bank
C•••••• A••••••• to B••••••••• C•••••• M••••••••• L••
left Sep 19, 2019, registered Jan 13, 2020 (116 days) · Affiliated broker-dealer or bank to independent RIA
L•••••• I••••••••• to C•••••• A•••••••
left Sep 19, 2019, registered Mar 5, 2019 (-198 days) · Affiliated broker-dealer or bank to another

Signals

A••• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-04-10)
Feb 20, 2023 · Advisor changed firm · fact
A••• S•••• left F•••••••• W••••• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-06-27)
Feb 7, 2023 · Advisor changed firm · fact
A••• S•••• left L•• F•••••••• L•• for F•••••••• W••••• A•••••••• L•• (registered 2021-07-20)
Jun 29, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address