DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | n/a | yes | Naperville, IL | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 16, 2021 | Sep 7, 2023 | no | NAPERVILLE, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 | -589 | Bulk transfer | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Feb 16, 2021 |
| T• A••••••••• I••• | Former SEC adviser | Feb 16, 2021 | Oct 14, 2022 | no | Naperville, IL | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Sep 26, 2017 | Dec 31, 2020 | no | NORTHBROOK, IL|Naperville, IL | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Sep 26, 2017 | Jan 11, 2021 | no | Naperville, IL|Northbrook, IL | Previous registration |
| A•••• I••••••••• A•••••••• L•• | Asset manager | Oct 12, 2012 | Apr 2, 2014 | no | LAUREL, MD | Previous registration |
| E••••• J•••• | National bd RIA | Mar 22, 2010 | Nov 30, 2011 | no | TINLEY PARK, IL|TINLEY PARK, IL|ST LOUIS, MO | Previous registration |
| -605 |
| Bulk transfer |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Sep 26, 2017 | -1,192 | Bulk transfer | Other |
| A•••• I••••••••• A•••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Apr 2, 2014 | Sep 26, 2017 | 1,273 | Firm change after gap | Other |
| E••••• J•••• | A•••• I••••••••• A•••••••• L•• | Nov 30, 2011 | Oct 12, 2012 | 317 | Firm change | Other |