DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• A•••••• G••••
CINCINNATI, OH | Waverly Hall, GA
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 |
|---|---|---|---|---|---|---|
| U••••• A•••••• G•••• | Independent wealth | Aug 26, 2025 | n/a | yes | CINCINNATI, OH|Waverly Hall, GA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Oct 11, 2024 | Aug 28, 2025 | no | CHATTANOOGA, TN|Waverly Hall, GA|SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | U••••• A•••••• G•••• | Aug 28, 2025 | Aug 26, 2025 | -2 | Firm change | Ibd to RIA |
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jul 9, 2019 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| N••• F•••••••• G••••• I••• | Former SEC adviser | Nov 28, 2011 | Jul 9, 2019 | no | HOUSTON, TX|WAVERLY HALL, GA|HOUSTON, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jan 18, 2006 | Nov 22, 2011 | no | COLUMBUS, GA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| N••• F•••••••• G••••• I••• | A••••••• P••••••••• A•••••••• I•• | Jul 9, 2019 | Jul 9, 2019 | 0 | Firm change | Ibd to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | N••• F•••••••• G••••• I••• | Nov 22, 2011 | Nov 28, 2011 | 6 | Firm change | Other |