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 R•• A•••••••• L••
VESTAVIA HILLS, AL | Williamstown, KY
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 |
|---|---|---|---|---|---|---|
| R•• A•••••••• L•• | Independent wealth | Nov 2, 2023 | n/a | yes | Williamstown, KY|VESTAVIA HILLS, AL | Current employment |
| A•••• P•••• A••••••• | Former SEC adviser | Sep 13, 2017 | Jan 31, 2019 | no | Williamstown, KY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | A•••• P•••• A••••••• | Jan 31, 2019 | Sep 13, 2017 | -505 | Channel change | Other |
| A•••• P•••• A••••••• | R•• A•••••••• L•• | Jan 31, 2019 | Nov 2, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 165127:158401:KY:2019-01-30 | Jan 31, 2019 | Nov 2, 2023 | W••••••STOWN, KY | Firm change after gap |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 5, 2014 | Jan 31, 2019 | no | W••••••STOWN, KY | Previous registration |
| E••••••• • A••••••••• I••• | n/a | Mar 8, 2005 | Feb 2, 2015 | no | W••••••STOWN, KY | Previous registration |
| 1,736 |
| Firm change after gap |
| Ibd to RIA |
| E••••••• • A••••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Feb 2, 2015 | Jun 5, 2014 | -242 | Firm change after gap | Other |