DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••••• A•••• M••••••••• L••
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| F••••••••• A•••• M••••••••• L•• | Independent wealth | Jan 24, 2020 | n/a | yes | CINCINNATI, OH | Current employment |
| O••• C•••••• M••••••••• | Independent wealth | Nov 17, 2015 | Aug 12, 2019 | no | CINCINNATI, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••• C•••••• M••••••••• | F••••••••• A•••• M••••••••• L•• | Aug 12, 2019 | Jan 24, 2020 | 165 | Firm change | RIA to RIA |
| F•• C•••••• M••••••••• I••• | N•• F•••••••• S•••••••• I••• | Jan 3, 2007 | Jan 21, 2004 |
| N•• F•••••••• S•••••••• I••• | n/a | Jan 21, 2004 | Dec 31, 2004 | no | CORDOVA, TN | Previous registration |
| F•• C•••••• M••••••••• I••• | n/a | May 12, 2003 | Jan 3, 2007 | no | CORDOVA, TN | Previous registration |
| -1,078 |
| Firm change after gap |
| Other |
| N•• F•••••••• S•••••••• I••• | O••• C•••••• M••••••••• | Dec 31, 2004 | Nov 17, 2015 | 3,973 | Firm change after gap | Other |