DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• C••••• G••••• I•••
LOS ANGELES, CA | Greenfield, IN
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•••••• C••••• G••••• I••• | No RAUM reported | Jun 7, 2017 | n/a | yes | LOS ANGELES, CA|Greenfield, IN | Current employment |
| C•••••• A••••••• C••••••••• | Independent wealth | Sep 7, 2016 | May 5, 2017 | no | Greenfield, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• A••••••• C••••••••• | C•••••• C••••• G••••• I••• | May 5, 2017 | Jun 7, 2017 | 33 | Firm change | Other |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | C•••••• A••••••• C••••••••• | Sep 21, 2016 | Sep 7, 2016 |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jul 18, 2016 | Sep 21, 2016 | no | Carmel, IN | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jul 11, 2013 | Jul 22, 2016 | no | CHARLEROI, PA | Previous registration |
| -14 |
| Firm change |
| Other |
| W•••••• • R••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Jul 22, 2016 | Jul 18, 2016 | -4 | Firm change | Other |