DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B••••••• L••• P•••••••
VILLA HILLS, KY
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••••••• L••• P••••••• | State registered | Nov 4, 2024 | n/a | yes | VILLA HILLS, KY | Current employment |
| C•••••• S••••••• W••••• M••••••••• L•• | Former SEC adviser | Sep 23, 2020 | May 29, 2024 | no | CINCINNATI, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••••• W••••• M••••••••• L•• | B••••••• L••• P••••••• | May 29, 2024 | Nov 4, 2024 | 159 | Firm change | RIA to state RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• S••••••• W••••• M••••••••• L•• | Sep 9, 2020 | Sep 23, 2020 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 9, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jun 26, 2012 | Jul 13, 2018 | no | COVINGTON, KY | Previous registration |
| 14 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |