DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B••••• F•••••••• A••••••• L••
CLEVELAND, 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 |
|---|---|---|---|---|---|---|
| B••••• F•••••••• A••••••• L•• | Independent wealth | Nov 9, 2023 | n/a | yes | CLEVELAND, OH | Current employment |
| F••••• D•••••••• W•••••• L•• | Independent wealth | Jun 13, 2022 | Nov 16, 2023 | no | MIDDLEBURG HEIGHTS, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• D•••••••• W•••••• L•• | B••••• F•••••••• A••••••• L•• | Nov 16, 2023 | Nov 9, 2023 | -7 | Firm change | RIA to RIA |
| A••••• A•••• M••••••••• U•• I••• | F••••• D•••••••• W•••••• L•• | May 20, 2022 | Jun 13, 2022 |
| A••••• A•••• M••••••••• U•• I••• | Former SEC adviser | Jan 4, 2021 | May 20, 2022 | no | BOSTON, MA | Previous registration |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Former SEC adviser | Nov 7, 2017 | Dec 31, 2020 | no | BOSTON, MA | Previous registration |
| D•• I••••••••• M••••••••• A•••••••• I••• | Other adviser | May 8, 2003 | Feb 24, 2004 | no | CHICAGO, IL | Previous registration |
| 24 |
| Firm change |
| Other |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | A••••• A•••• M••••••••• U•• I••• | Dec 31, 2020 | Jan 4, 2021 | 4 | Bulk transfer | Other |
| D•• I••••••••• M••••••••• A•••••••• I••• | A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Feb 24, 2004 | Nov 7, 2017 | 5,005 | Firm change after gap | Other |