DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• P•••••••• S••••••••• L••
Berwyn, PA | OMAHA, NE
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•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | Jan 17, 2023 | n/a | yes | Berwyn, PA|OMAHA, NE | Current employment |
| O•••• P•••••••• S••••••••• L•• | Former SEC adviser | Jan 7, 2022 | Jan 6, 2023 | no | Berwyn, PA|OMAHA, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• P•••••••• S••••••••• L•• | O•••• P•••••••• S••••••••• L•• | Jan 6, 2023 | Jan 17, 2023 | 11 | Bulk transfer | RIA to ibd |
| O•••• P•••••••• S••••••••• L•• | O•••• P•••••••• S••••••••• L•• | Dec 31, 2021 | Jan 7, 2022 |
| O•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | May 13, 2021 | Dec 31, 2021 | no | OMAHA, NE | Previous registration |
| L•••••••• T••••••• A•••• M••••••••• I•• | Other adviser | May 12, 2016 | May 12, 2021 | no | NEW YORK, NY | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Oct 17, 2012 | May 6, 2016 | no | WILMINGTON, DE|NEW YORK, NY|Stamford, CT|WILMINGTON, DE|Wilmington, DE | Previous registration |
| C••••••••• W••••• A•••••••• L•• | Former SEC adviser | Nov 11, 2010 | Jun 1, 2011 | no | ROCKVILLE, MD | Previous registration |
| 7 |
| Bulk transfer |
| Ibd to RIA |
| L•••••••• T••••••• A•••• M••••••••• I•• | O•••• P•••••••• S••••••••• L•• | May 12, 2021 | May 13, 2021 | 1 | Firm change | RIA to ibd |
| C•••••••• G••••• M•••••• I••• | L•••••••• T••••••• A•••• M••••••••• I•• | May 6, 2016 | May 12, 2016 | 6 | Firm change | Other |
| C••••••••• W••••• A•••••••• L•• | C•••••••• G••••• M•••••• I••• | Jun 1, 2011 | Oct 17, 2012 | 504 | Firm change after gap | Other |