DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•• S••••••••• L••
Schaumburg, IL | Minneapolis, MN
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•• S••••••••• L•• | No RAUM reported | Apr 1, 2020 | n/a | yes | Schaumburg, IL|Minneapolis, MN | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 19, 2016 | Jul 1, 2020 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | M•• S••••••••• L•• | Jul 1, 2020 | Apr 1, 2020 | -91 | Firm change after gap | Other |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 19, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283330:44254:IL:2020-07-01 | Jul 1, 2020 | Apr 1, 2020 | CHICAGO, IL | Firm change after gap |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Sep 24, 2014 | Sep 22, 2016 | no | Schaumburg, IL|CHICAGO, IL|Arlington, VA | Previous registration |
| F•••••••• T••••••• I••• | Former SEC adviser | Jan 8, 2010 | Sep 2, 2014 | no | SAN RAFAEL, CA|SCHAUMBURG, IL | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | Jan 22, 2010 | no | SCHAUMBURG, IL | Previous registration |
| W••••••••• F•••••••• G••••• I••• | n/a | Jul 14, 2008 | Sep 8, 2009 | no | BOSTON, MA|SCHAUMBURG, IL | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 28, 2004 | Sep 17, 2004 | no | SCHAUMBURG, IL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jun 6, 2003 | May 10, 2004 | no | ITASCA, IL | Previous registration |
| -156 |
| Bulk transfer |
| Other |
| F•••••••• T••••••• I••• | N•• A•••••• S•••••••• L•• | Sep 2, 2014 | Sep 24, 2014 | 22 | Firm change | Other |
| L•• F•••••••• L•• | F•••••••• T••••••• I••• | Jan 22, 2010 | Jan 8, 2010 | -14 | Firm change | Other |
| W••••••••• F•••••••• G••••• I••• | L•• F•••••••• L•• | Sep 8, 2009 | Sep 8, 2009 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W••••••••• F•••••••• G••••• I••• | Sep 17, 2004 | Jul 14, 2008 | 1,396 | Firm change after gap | Other |
| W•••• F•••• A••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | May 10, 2004 | May 28, 2004 | 18 | Firm change | Wirehouse to wirehouse |