DFX Intelligence
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Reading the graph
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Advisor at M•• A•••••••• L••
LEXINGTON, KY | 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 |
|---|---|---|---|---|---|---|
| M•• A•••••••• L•• | Independent wealth | Apr 23, 2026 | n/a | yes | LEXINGTON, KY|CINCINNATI, OH | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 2, 2009 | Jan 11, 2011 | no | WEST CHESTER, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | M•• A•••••••• L•• | Jan 11, 2011 | Apr 23, 2026 | 5,581 | Firm change after gap | Other |
| C••••• C••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Nov 21, 2005 | Dec 9, 2005 |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Dec 9, 2005 | Apr 20, 2009 | no | CINCINNATI, OH | Previous registration |
| C••••• C••••••• L•• | Former SEC adviser | Mar 8, 2005 | Nov 21, 2005 | no | DENVER, CO | Previous registration |
| C••••• C••••••• L•• | Former SEC adviser | Feb 2, 2004 | Dec 17, 2004 | no | DENVER, CO | Previous registration |
| 18 |
| Firm change |
| Other |