DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at W•••••• A•••••••• L••
BIRMINGHAM, AL | 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 |
|---|---|---|---|---|---|---|
| W•••••• A•••••••• L•• | Independent wealth | Oct 22, 2024 | n/a | yes | BIRMINGHAM, AL|CINCINNATI, OH | Current employment |
| 9••• W••••• M••••••••• L•• | Former SEC adviser | Jan 9, 2018 | Dec 2, 2024 | no | BLUE ASH, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| 9••• W••••• M••••••••• L•• | W•••••• A•••••••• L•• | Dec 2, 2024 | Oct 22, 2024 | -41 | Firm change after gap | RIA to RIA |
| R•••••• J•••• • A••••••••• I••• | 9••• W••••• M••••••••• L•• | Dec 31, 2017 | Jan 9, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 290693:115332:OH:2024-12-02 | Dec 2, 2024 | Oct 22, 2024 | BLUE ASH, OH | Firm change after gap |
| 705:290693:OH:2017-12-31 | Dec 31, 2017 | Jan 9, 2018 | BLUE ASH, OH | Firm change |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Dec 21, 2016 | Dec 31, 2017 | no | Blue Ash, OH | Previous registration |
| M•• F•••••••• S•••••••• I••• | Bd affiliated wealth | May 20, 2016 | Dec 20, 2016 | no | Wilmington, OH | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Apr 17, 2015 | Apr 20, 2016 | no | MOUNT ORAB, OH | Previous registration |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Apr 15, 2015 | no | MT ORAB, OH|SCHAUMBURG, IL | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Nov 30, 2012 | Jan 21, 2014 | no | BLANCHESTER, OH|MT. ORAB, OH|NEW VIENNA, OH|BATAVIA, OH|WILLIAMSBURG, OH|OWENSVILLE, OH | Previous registration |
| 9 |
| Firm change |
| Ibd to new firm |
| M•• F•••••••• S•••••••• I••• | R•••••• J•••• • A••••••••• I••• | Dec 20, 2016 | Dec 21, 2016 | 1 | Firm change | Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | M•• F•••••••• S•••••••• I••• | Apr 20, 2016 | May 20, 2016 | 30 | Firm change | Other |
| C••••• I••••••••• A••••••• L•• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Apr 15, 2015 | Apr 17, 2015 | 2 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |