DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
OCONOMOWOC, WI | BROOKFIELD, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | BROOKFIELD, WI|OCONOMOWOC, WI | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Oct 25, 2024 | Mar 31, 2025 | no | BROOKFIELD, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| M••••• C••• C•••••• | F••••••• P••••••• A•• W•••••••• A••••••• | May 3, 2023 | Oct 25, 2024 |
| M••••• C••• C•••••• | Independent wealth | Jun 13, 2022 | May 3, 2023 | no | IOWA CITY, IA | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Jul 15, 2015 | Oct 12, 2020 | no | WAUKESHA, WI | Previous registration |
| 541 |
| Firm change after gap |
| RIA to ibd |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | M••••• C••• C•••••• | Oct 12, 2020 | Jun 13, 2022 | 609 | Firm change after gap | Ibd to RIA |