DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• A••••••• S•••••••• L••
SHOREWOOD, IL | Buffalo, NY
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••••••• S•••••••• L•• | Institutional manager | Jun 28, 2024 | n/a | yes | SHOREWOOD, IL|Buffalo, NY | Current employment |
| G••••• R••••••••• P••••••• L•• | Institutional manager | Apr 1, 2019 | Jul 5, 2024 | no | Buffalo, NY|SAN RAFAEL, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••• R••••••••• P••••••• L•• | W••••• A••••••• S•••••••• L•• | Jul 5, 2024 | Jun 28, 2024 | -7 | Bulk transfer | Other |
| K••••• A••••••• S•••••••• L•• | G••••• R••••••••• P••••••• L•• | Apr 1, 2019 | Apr 1, 2019 |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 19, 2016 | Apr 1, 2019 | no | BUFFALO, NY | Previous registration |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Jul 31, 2014 | Sep 22, 2016 | no | AUSTIN, TX|BUFFALO, NY | Previous registration |
| F•••••••• T••••••• I••• | Former SEC adviser | Feb 26, 2010 | Jul 30, 2014 | no | SAN RAFAEL, CA|BUFFALO, NY | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 19, 2016 | -156 | Bulk transfer | Other |
| F•••••••• T••••••• I••• | N•• A•••••• S•••••••• L•• | Jul 30, 2014 | Jul 31, 2014 | 1 | Firm change | Other |