DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at A••••••••• F•••••••• S•••••••• L••
GREEN BAY, WI | New Franken, WI
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••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 29, 2020 | n/a | yes | GREEN BAY, WI|New Franken, WI | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Aug 12, 2019 | Oct 22, 2019 | no | FOND DU LAC, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 22, 2019 | Sep 29, 2020 | 343 | Firm change | Ibd to ibd |
| K••••••••• W••••• M••••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Apr 22, 2019 | Aug 12, 2019 |
| K••••••••• W••••• M••••••••• L•• | Independent wealth | Jan 3, 2019 | Apr 22, 2019 | no | SHAWANO, WI | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Oct 19, 2018 | Jan 2, 2019 | no | APPLETON, WI | Previous registration |
| 112 |
| Firm change |
| RIA to ibd |
| B•• H••••• F•••••••• A•••••••• I•• | K••••••••• W••••• M••••••••• L•• | Jan 2, 2019 | Jan 3, 2019 | 1 | Firm change | Ibd to RIA |