DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
SHEBOYGAN FALLS, WI
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••••••••• A••••••• L•• | Bd affiliated wealth | Mar 12, 2024 | n/a | yes | SHEBOYGAN FALLS, WI | Current employment |
| B••••••••• C•••••• M••••••••• L•• | Independent wealth | Feb 17, 2022 | Jan 9, 2024 | no | WHEATON, IL|Greenville, SC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••••• C•••••• M••••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 9, 2024 | Mar 12, 2024 | 63 | Firm change | RIA to ibd |
| F••••••••• I••••••••• A••••••• L•• | B••••••••• C•••••• M••••••••• L•• | Jan 2, 2024 | Feb 17, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 153467:306227:NC:2021-12-31 | Dec 31, 2021 | Apr 28, 2020 | CHARLOTTE, NC | Firm change after gap |
| 137658:153467:NC:2020-06-26 | Jun 26, 2020 | Apr 10, 2019 | CHARLOTTE, NC | Channel change |
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | May 13, 2020 | Jan 2, 2024 | no | PHOENIX, AZ|Charlotte, NC | Previous registration |
| A•••• I••••••••• M••••••••• | State registered | Apr 28, 2020 | Dec 18, 2023 | no | GREENVILLE, SC | Previous registration |
| B••••••••• A•••• M••••••••• L•• | Asset manager | Apr 10, 2019 | Dec 31, 2021 | no | CHARLOTTE, NC | Previous registration |
| B••••••••• W••••• A•••••••• L•• | No RAUM reported | Apr 10, 2019 | Jun 26, 2020 | no | CHARLOTTE, NC | Previous registration |
| -684 |
| Firm change after gap |
| RIA to RIA |
| A•••• I••••••••• M••••••••• | F••••••••• I••••••••• A••••••• L•• | Dec 18, 2023 | May 13, 2020 | -1,314 | Firm change after gap | Other |
| B••••••••• A•••• M••••••••• L•• | A•••• I••••••••• M••••••••• | Dec 31, 2021 | Apr 28, 2020 | -612 | Firm change after gap | RIA to state RIA |
| B••••••••• W••••• A•••••••• L•• | B••••••••• A•••• M••••••••• L•• | Jun 26, 2020 | Apr 10, 2019 | -443 | Channel change | RIA to RIA |