DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• F•••••••• A•••••••• L••
CINCINNATI, OH | Springfield, 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 |
|---|---|---|---|---|---|---|
| S•••••• F•••••••• A•••••••• L•• | Independent wealth | Aug 25, 2019 | n/a | yes | Springfield, OH|CINCINNATI, OH | Current employment |
| A•••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Sep 12, 2013 | Aug 20, 2019 | no | SPRINGFIELD, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••••• I••••••••• M••••••••• L•• | S•••••• F•••••••• A•••••••• L•• | Aug 20, 2019 | Aug 25, 2019 | 5 | Firm change | RIA to RIA |
| V•••• F•••••••• A•••••••• I••• | A•••••••• I••••••••• M••••••••• L•• | Sep 19, 2013 | Sep 12, 2013 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 146236:296780:OH:2019-08-20 | Aug 20, 2019 | Aug 25, 2019 | SPRINGFIELD, OH | Firm change |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jan 4, 2011 | Sep 19, 2013 | no | COLUMBUS, OH | Previous registration |
| -7 |
| Firm change |
| Other |