DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• A•••••• G••••
Cincinnati, OH | 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 | Mar 1, 2023 | n/a | yes | Cincinnati, OH|CINCINNATI, OH | Current employment |
| T••••••• S••••••• A••••••• | Bd affiliated wealth | Nov 24, 2020 | Mar 7, 2023 | no | INDIANAPOLIS, IN|Cincinnati, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••••• S••••••• A••••••• | U••••• A•••••• G•••• | Mar 7, 2023 | Mar 1, 2023 | -6 | Firm change | Ibd to new firm |
| T••••••• S••••••• F•••••••• | T••••••• S••••••• A••••••• | Jul 6, 2021 | Nov 24, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8478:299201:OH:2021-07-06 | Jul 6, 2021 | Nov 24, 2020 | CINCINNATI, OH | Firm change after gap |
| 174182:8478:AL:2017-06-07 | Jun 7, 2017 | May 31, 2017 | BIRMINGHAM, AL | Firm change |
| T••••••• S••••••• F•••••••• | Former SEC adviser | May 31, 2017 | Jul 6, 2021 | no | Cincinnati, OH | Previous registration |
| S••••• A••••••• I••• | Bd affiliated wealth | Jan 30, 2015 | Jun 7, 2017 | no | BIRMINGHAM, AL | Previous registration |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | Former SEC adviser | Aug 31, 2006 | Jan 30, 2015 | no | CINCINNATI, OH|YOUNGSTOWN, OH|CINCINNATI, OH|YOUNGSTOWN, OH | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 29, 2003 | Sep 12, 2006 | no | CINCINNATI, OH|CINCINNATI, OH | Previous registration |
| -224 |
| Firm change after gap |
| Ibd to ibd |
| S••••• A••••••• I••• | T••••••• S••••••• F•••••••• | Jun 7, 2017 | May 31, 2017 | -7 | Firm change | Other |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | S••••• A••••••• I••• | Jan 30, 2015 | Jan 30, 2015 | 0 | Bulk transfer | Other |
| W••••••• F•••••••• S•••••••• I••• | S••••• A••• I••••••••• A•••••• S•••••••• I••• | Sep 12, 2006 | Aug 31, 2006 | -12 | Firm change | Other |