DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• A•••••• G••••
Avon, IN | 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 |
|---|---|---|---|---|---|---|
| U••••• A•••••• G•••• | Independent wealth | Feb 10, 2023 | n/a | yes | Avon, IN|CINCINNATI, OH | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Oct 17, 2017 | Feb 17, 2023 | no | Bloomington, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | U••••• A•••••• G•••• | Feb 17, 2023 | Feb 10, 2023 | -7 | Firm change | Ibd to new firm |
| I••••• F•••••••• C••••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Oct 18, 2017 | Oct 17, 2017 |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Nov 17, 2011 | Oct 18, 2017 | no | WASHINGTON, IN|FRANKLIN, IN|LOOGOOTEE, IN|TERRE HAUTE, IN|PLAINFIELD, IN|LINTON, IN|ODON, IN|CAMP ATERBURY, IN|APPLETON, WI|CRANE, IN|BLOOMINGTON, IN|BEDFORD, IN|PORTAGE, MI | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Jul 8, 2010 | Nov 18, 2011 | no | FRANKLIN, IN|WAVERLY, IA|BLOOMINGTON, IN | Previous registration |
| H• B•••• I••• | Former SEC adviser | Oct 2, 2008 | Oct 2, 2009 | no | FORT WAYNE, IN|FORT WAYNE, IN | Previous registration |
| G•••••••• F••••••••• I•• | n/a | Aug 9, 2006 | Nov 9, 2007 | no | FT. WAYNE, IN|FT. WAYNE, IN|FT. WAYNE, IN | Previous registration |
| A•••• C•••••• M••••••••• C••• | Independent wealth | Jan 14, 1999 | Jul 2, 2003 | no | FORT WAYNE, IN | Previous registration |
| S•• I••••••••• I••• | Former SEC adviser | Jan 14, 1999 | Aug 11, 2006 | no | FORT WAYNE, IN|FORT WAYNE, IN|FORT WAYNE, IN | Previous registration |
| -1 |
| Firm change |
| Other |
| C••• B•••••••• S•••••••• I••• | I••••• F•••••••• C••••••••• | Nov 18, 2011 | Nov 17, 2011 | -1 | Firm change | Other |
| H• B•••• I••• | C••• B•••••••• S•••••••• I••• | Oct 2, 2009 | Jul 8, 2010 | 279 | Firm change | Other |
| G•••••••• F••••••••• I•• | H• B•••• I••• | Nov 9, 2007 | Oct 2, 2008 | 328 | Firm change | Other |
| S•• I••••••••• I••• | G•••••••• F••••••••• I•• | Aug 11, 2006 | Aug 9, 2006 | -2 | Firm change | Other |
| A•••• C•••••• M••••••••• C••• | S•• I••••••••• I••• | Jul 2, 2003 | Jan 14, 1999 | -1,630 | Firm change after gap | Other |