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 S•••
Cleveland, OH | LOS ANGELES, CA
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••• | Bd affiliated wealth | Jun 20, 2024 | n/a | yes | LOS ANGELES, CA|Cleveland, OH | Current employment |
| C•••••• G•••• • C• I•• | Former SEC adviser | Apr 13, 2021 | Jun 17, 2024 | no | Syracuse, NY|Cleveland, OH|Syracuse, NY|SYRACUSE, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• B•••• G•••• | C•••••• G•••• • C• I•• | Jul 1, 2024 | Apr 13, 2021 | -1,175 | Firm change after gap | RIA to ibd |
| C•••••• G•••• • C• I•• | S••• | Jun 17, 2024 | Jun 20, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 290670:10641:OH:2024-07-01 | Jul 1, 2024 | Apr 13, 2021 | CLEVELAND, OH | Firm change after gap |
| 10641:108163:NY:2024-06-17 | Jun 17, 2024 | Jun 20, 2024 | SYRACUSE, NY | Firm change |
| 110518:290670:OH:2021-04-13 | Apr 13, 2021 | Mar 2, 2018 | CLEVELAND, OH | Firm change after gap |
| C•••• B•••• G•••• | Former SEC adviser | Mar 2, 2018 | Jul 1, 2024 | no | CLEVELAND, OH | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Apr 12, 2010 | Apr 13, 2021 | no | CLEVELAND, OH | Previous registration |
| P•• W••••• M••••••••• | Bd affiliated wealth | Nov 13, 2009 | Apr 12, 2010 | no | WOODMERE, OH|LYNDHURST, OH|BEECHWOOD, OH|CHAGRIN FALLS, OH|LYNDHURST, OH|UNIVERSITY HEIGHTS, OH|SHAKER HEIGHTS, OH|MAYFIELD HEIGHTS, OH | Previous registration |
| N•••••• I••••••••• I••• | n/a | Oct 13, 2005 | Nov 13, 2009 | no | SHAKER HEIGHTS, OH|BEECHWOOD, OH|CHARDON, OH|LYNDHURST, OH|LYNDHURST, OH|UNIVERSITY HEIGHTS, OH|WOODMERE, OH|CLEVELAND, OH|CHAGRIN FALLS, OH|NEWBURY, OH|MAYFIELD HEIGHTS, OH | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 18, 2000 | Oct 4, 2005 | no | PEPPER PIKE, OH | Previous registration |
| Firm change |
| Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | C•••• B•••• G•••• | Apr 13, 2021 | Mar 2, 2018 | -1,138 | Firm change after gap | Other |
| P•• W••••• M••••••••• | S••••••••• A•••••• A•••••••• I••• | Apr 12, 2010 | Apr 12, 2010 | 0 | Firm change | Other |
| N•••••• I••••••••• I••• | P•• W••••• M••••••••• | Nov 13, 2009 | Nov 13, 2009 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | N•••••• I••••••••• I••• | Oct 4, 2005 | Oct 13, 2005 | 9 | Firm change | Other |