DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••••••••• P••••••• S••••••••• L••
LOUISVILLE, KY | Covington, 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 |
|---|---|---|---|---|---|---|
| R••••••••• P••••••• S••••••••• L•• | Independent wealth | May 23, 2022 | n/a | yes | LOUISVILLE, KY|Covington, KY | Current employment |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Feb 13, 2013 | Apr 28, 2022 | no | COVINGTON, KY|CINCINNATI, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | R••••••••• P••••••• S••••••••• L•• | Apr 28, 2022 | May 23, 2022 | 25 | Firm change | Ibd to RIA |
| M••••• K••••• • C••••••• L•• | R•••••• J•••• • A••••••••• I••• | Feb 13, 2013 | Feb 13, 2013 |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Nov 9, 2007 | Feb 13, 2013 | no | COVINGTON, KY | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 12, 2004 | Nov 14, 2007 | no | CINCINNATI, OH|CINCINNATI, OH | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Dec 7, 1999 | Nov 19, 2004 | no | CINCINNATI, OH | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| U•• F•••••••• S••••••• I••• | M••••• K••••• • C••••••• L•• | Nov 14, 2007 | Nov 9, 2007 | -5 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | U•• F•••••••• S••••••• I••• | Nov 19, 2004 | Nov 12, 2004 | -7 | Firm change | Other |