DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at A••••••••• I••••••••• S•••••••• I•••
••• Locked
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| A••••••••• I••••••••• S•••••••• I••• | Independent wealth | Jun 5, 2023 | n/a | yes | NEW LONDON, WI|APPLETON, WI|APPLETON, WI|NEENAH, WI | Current employment |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Nov 10, 2020 | May 30, 2023 | no | OSHKOSH, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••• T••••••• • K•••• L•• | A••••••••• I••••••••• S•••••••• I••• | May 30, 2023 | Jun 5, 2023 | 6 | Firm change | Ibd to RIA |
| O••••••••• S••••••••• I••• | H•••••• T••••••• • K•••• L•• | Oct 21, 2020 | Nov 10, 2020 |
| O••••••••• S••••••••• I••• | Bd affiliated wealth | Jan 31, 2019 | Oct 21, 2020 | no | Appleton, WI|INDIANAPOLIS, IN | Previous registration |
| M•• F•••••••• S•••••••• I••• | Bd affiliated wealth | Sep 5, 2017 | Jan 31, 2019 | no | APPLETON, WI | Previous registration |
| C••••••••• F•••••••• A•••••••• L•• | Independent wealth | Jul 20, 2015 | Aug 3, 2017 | no | APPLETON, WI | Previous registration |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Dec 10, 2014 | Jul 10, 2015 | no | APPLETON, WI|SAN DIEGO, CA | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Jun 13, 2012 | Dec 10, 2014 | no | APPLETON, WI|APPLETON, WI|APPLETON, WI|DE PERE, WI | Previous registration |
| 20 |
| Firm change |
| Ibd to ibd |
| M•• F•••••••• S•••••••• I••• | O••••••••• S••••••••• I••• | Jan 31, 2019 | Jan 31, 2019 | 0 | Firm change | RIA to ibd |
| C••••••••• F•••••••• A•••••••• L•• | M•• F•••••••• S•••••••• I••• | Aug 3, 2017 | Sep 5, 2017 | 33 | Firm change | Other |
| C••• F•••••••• S•••••••• L••• | C••••••••• F•••••••• A•••••••• L•• | Jul 10, 2015 | Jul 20, 2015 | 10 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | C••• F•••••••• S•••••••• L••• | Dec 10, 2014 | Dec 10, 2014 | 0 | Firm change | Other |