DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
Oak Creek, WI
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 1, 2025 | n/a | yes | Oak Creek, WI | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 2, 2020 | Jun 14, 2024 | no | OAK CREEK, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jan 1, 2025 | 201 | Bulk transfer | Ibd to ibd |
| F•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Sep 10, 2015 | Jul 2, 2020 |
| F•••••••• L•• | Former SEC adviser | Mar 23, 2009 | Sep 10, 2015 | no | HALES CORNERS, WI|MINNEAPOLIS, MN | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jul 6, 2005 | Sep 9, 2005 | no | CHICAGO, IL | Previous registration |
| B••• O•• S••••••••• C••••••••• | n/a | Jun 20, 2002 | Jul 6, 2005 | no | GERMANTOWN, WI | Previous registration |
| 1,757 |
| Firm change after gap |
| Other |
| C•••• I••••••••• S••••••• C•••• | F•••••••• L•• | Sep 9, 2005 | Mar 23, 2009 | 1,291 | Firm change after gap | Other |
| B••• O•• S••••••••• C••••••••• | C•••• I••••••••• S••••••• C•••• | Jul 6, 2005 | Jul 6, 2005 | 0 | Bulk transfer | Other |