DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••••••• F•••••••• S••••••• L••
BIRMINGHAM, AL | Fort Wayne, IN
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 |
|---|---|---|---|---|---|---|
| O•••••••• F•••••••• S••••••• L•• | Independent wealth | Sep 22, 2023 | n/a | yes | Fort Wayne, IN|BIRMINGHAM, AL | Current employment |
| G•••••• W••••• P•••••••• L•• | Independent wealth | Oct 6, 2022 | Sep 26, 2023 | no | Fort Wayne, IN|APPLETON, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | A•••••••• P•••• I••• | Oct 3, 2023 | Oct 29, 2014 | -3,261 | Firm change after gap | Other |
| G•••••• W••••• P•••••••• L•• | O•••••••• F•••••••• S••••••• L•• | Sep 26, 2023 | Sep 22, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:170669:IN:2023-10-03 | Oct 3, 2023 | Oct 29, 2014 | FORT WAYNE, IN | Firm change after gap |
| 322789:284549:WI:2023-09-26 | Sep 26, 2023 | Sep 22, 2023 | APPLETON, WI | Firm change |
| A•••••••• P•••• I••• | Former SEC adviser | Oct 29, 2014 | Dec 31, 2022 | no | FORT WAYNE, IN|APPLETON, WI | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 29, 2014 | Oct 3, 2023 | no | VAN WERT, OH|FORT WAYNE, IN | Previous registration |
| -4 |
| Firm change |
| RIA to RIA |
| A•••••••• P•••• I••• | G•••••• W••••• P•••••••• L•• | Dec 31, 2022 | Oct 6, 2022 | -86 | Bulk transfer | RIA to new firm |