DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H•••••••• P••••••• P•••••••
DOWNERS GROVE, IL | Naperville, IL
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 |
|---|---|---|---|---|---|---|
| H•••••••• P••••••• P••••••• | Independent wealth | Dec 8, 2021 | n/a | yes | DOWNERS GROVE, IL|Naperville, IL | Current employment |
| H•••••••• A•••••• G••••• L•• | Former SEC adviser | Jun 23, 2021 | Dec 31, 2021 | no | Noblesville, IN|DOWNERS GROVE, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | H•••••••• A•••••• G••••• L•• | Feb 24, 2022 | Jun 23, 2021 | -246 | Firm change after gap | Ibd to RIA |
| H•••••••• A•••••• G••••• L•• | H•••••••• P••••••• P••••••• | Dec 31, 2021 | Dec 8, 2021 |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | Feb 24, 2022 | no | NORTHFIELD, IL|CROWN POINT, IN | Previous registration |
| W••••••••• F•••••••• G••••• I••• | n/a | Oct 12, 2004 | Sep 8, 2009 | no | NORTHBROOK, IL|BOSTON, MA|NORTHFIELD, IL | Previous registration |
| O•••• W•••••• I••• | Bd affiliated wealth | Sep 7, 2004 | Sep 23, 2004 | no | NORTHFIELD, IL | Previous registration |
| -23 |
| Bulk transfer |
| RIA to new firm |
| W••••••••• F•••••••• G••••• I••• | L•• F•••••••• L•• | Sep 8, 2009 | Sep 8, 2009 | 0 | Bulk transfer | Other |
| O•••• W•••••• I••• | W••••••••• F•••••••• G••••• I••• | Sep 23, 2004 | Oct 12, 2004 | 19 | Firm change | Other |