DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C••••• I••••••••• A••••••• L••
CLEVELAND HEIGHTS, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | CLEVELAND HEIGHTS, OH | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 10, 2017 | Sep 5, 2025 | no | Ckeveland Heights, OH|DALLAS, TX|Cleveland Heights, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| W• W••••• A•••••••• L•• | A•••••• A••••••• S••••••• | Apr 24, 2017 | Oct 10, 2017 |
| W• W••••• A•••••••• L•• | State registered | Feb 4, 2015 | Apr 24, 2017 | no | AKRON, OH | Previous registration |
| V•••••• A•••••••• I••• | Bd affiliated wealth | Oct 20, 2014 | Apr 12, 2017 | no | WARREN, OH | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | May 26, 2010 | Oct 27, 2014 | no | WESTLAKE, OH|HIGHLAND HILLS, OH | Previous registration |
| 169 |
| Firm change |
| Other |
| V•••••• A•••••••• I••• | W• W••••• A•••••••• L•• | Apr 12, 2017 | Feb 4, 2015 | -798 | Firm change after gap | Other |
| N•• E•••••• S••••••••• C••••••••• | V•••••• A•••••••• I••• | Oct 27, 2014 | Oct 20, 2014 | -7 | Firm change | Other |