DFX Intelligence
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Advisor at C• I••••••••• L••
AUBURN, IN
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 |
|---|---|---|---|---|---|---|
| C• I••••••••• L•• | Independent wealth | Mar 29, 2018 | n/a | yes | AUBURN, IN | Current employment |
| H•••• W••••• P••••••• | Former SEC adviser | Jul 26, 2010 | Aug 15, 2018 | no | AUBURN, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••• W••••• P••••••• | C• I••••••••• L•• | Aug 15, 2018 | Mar 29, 2018 | -139 | Firm change after gap | RIA to RIA |
| L•• F•••••••• L•• | H•••• W••••• P••••••• | Sep 17, 2010 | Jul 26, 2010 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 153880:292627:IN:2018-08-15 | Aug 15, 2018 | Mar 29, 2018 | AUBURN, IN | Firm change after gap |
| L•• F•••••••• L•• |
| Bd affiliated wealth |
| Oct 3, 2005 |
| Sep 17, 2010 |
| no |
| AUBURN, IN|FT. WAYNE, IN|AUBURN, IN |
| Previous registration |
| A•• I••••••••• M••••••••• I•• | Mixed wealth | Dec 21, 2002 | Dec 31, 2002 | no | KENDALLVILLE, IN | Previous registration |
| A•• I••••••••• M••••••••• I•• | Mixed wealth | Jan 1, 2001 | Nov 30, 2005 | no | KENDALLVILLE, IN | Previous registration |
| -53 |
| Firm change after gap |
| Other |
| A•• I••••••••• M••••••••• I•• | L•• F•••••••• L•• | Dec 31, 2002 | Oct 3, 2005 | 1,007 | Firm change after gap | Other |