DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• W••••• P•••••••
MINNETONKA, MN | MOKENA, IL
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 |
|---|---|---|---|---|---|---|
| A••••••••• W••••• P••••••• | Independent wealth | May 17, 2019 | n/a | yes | MINNETONKA, MN|MOKENA, IL | Current employment |
| M••••• • A••••••••• I•• | Former SEC adviser | May 13, 2011 | Aug 2, 2019 | no | MOKENA, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• • A••••••••• I•• | A••••••••• W••••• P••••••• | Aug 2, 2019 | May 17, 2019 | -77 | Firm change after gap | RIA to RIA |
| O•••• I••••••••• I••• | M••••• • A••••••••• I•• | Apr 26, 2011 | May 13, 2011 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 106588:113074:IL:2019-08-02 | Aug 2, 2019 | May 17, 2019 | MOKENA, IL | Firm change after gap |
| O•••• I••••••••• I••• | Bd affiliated wealth | Jul 23, 2009 | Apr 26, 2011 | no | MINOOKA, IL|JOLIET, IL|MERIDEN, CT | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Jan 2, 2009 | Jul 7, 2009 | no | SAINT PETERSBURG, FL|CHICAGO, IL | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Jan 31, 2007 | Jan 2, 2009 | no | CHICAGO, IL|MINOOKA, IL|CHICAGO, IL | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 8, 2006 | Dec 7, 2006 | no | CHICAGO, IL | Previous registration |
| 17 |
| Firm change |
| Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | O•••• I••••••••• I••• | Jul 7, 2009 | Jul 23, 2009 | 16 | Firm change | Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Jan 2, 2009 | Jan 2, 2009 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | R•••••• J•••• F•••••••• S•••••••• I••• | Dec 7, 2006 | Jan 31, 2007 | 55 | Firm change | Other |