DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••••• W••••• M••••••••• L••
Estero, FL
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 |
|---|---|---|---|---|---|---|
| M•••••• W••••• M••••••••• L•• | State registered | May 2, 2024 | n/a | yes | Estero, FL | Current employment |
| C•••••• A••••••• | Bd affiliated wealth | May 17, 2023 | May 1, 2024 | no | Columbus, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• A••••••• | L•••••• I••••••••• | May 1, 2024 | May 17, 2023 | -350 | Firm change after gap | Ibd to RIA |
| L•••••• I••••••••• | M•••••• W••••• M••••••••• L•• | May 1, 2024 | May 2, 2024 |
| L•••••• I••••••••• |
| Independent wealth |
| May 17, 2023 |
| May 1, 2024 |
| no |
| PALM BEACH GARDENS, FL|COLUMBUS, OH |
| Previous registration |
| O•••• F•• I••• | Former SEC adviser | Jul 23, 2021 | May 1, 2023 | no | DUBLIN, OH|LEXINGTON, KY | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Oct 17, 2018 | Jul 12, 2021 | no | COLUMBUS, OH | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Sep 25, 2017 | Oct 1, 2018 | no | DUBLIN, OH | Previous registration |
| E•••• S••••••••• L•• | Bd affiliated wealth | Aug 28, 2015 | May 25, 2017 | no | DUBLIN, OH | Previous registration |
| E••••• J•••• | National bd RIA | May 6, 2013 | Jun 3, 2014 | no | ST LOUIS, MO|DUBLIN, OH|DUBLIN, OH | Previous registration |
| 1 |
| Firm change |
| RIA to state RIA |
| O•••• F•• I••• | C•••••• A••••••• | May 1, 2023 | May 17, 2023 | 16 | Firm change | Ibd to ibd |
| P•••• S••••••••• L•• | O•••• F•• I••• | Jul 12, 2021 | Jul 23, 2021 | 11 | Firm change | Ibd to ibd |
| M•• I•••••••• S•••••••• L•• | P•••• S••••••••• L•• | Oct 1, 2018 | Oct 17, 2018 | 16 | Firm change | Ibd to ibd |
| E•••• S••••••••• L•• | M•• I•••••••• S•••••••• L•• | May 25, 2017 | Sep 25, 2017 | 123 | Firm change | Other |
| E••••• J•••• | E•••• S••••••••• L•• | Jun 3, 2014 | Aug 28, 2015 | 451 | Firm change after gap | Other |