DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I••••••••• A•••••• A•••••••• L••
Salisbury, NC | Richfield, 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 |
|---|---|---|---|---|---|---|
| I••••••••• A•••••• A•••••••• L•• | I•••••••••_WEALTH | Jul 18, 2025 | n/a | yes | Salisbury, NC|Richfield, WI | Current employment |
| W•••••• • R••• | Former SEC adviser | Mar 15, 2017 | Oct 2, 2017 | no | WAUKESHA, WI|RICHFIELD, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• • R••• | I••••••••• A•••••• A•••••••• L•• | Oct 2, 2017 | Jul 18, 2025 | 2,846 | Firm change after gap | Other |
| O••••••••• S••••••••• I••• | W•••••• • R••• | Jan 17, 2017 | Mar 15, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 866:168267:WI:2017-09-29 | Oct 2, 2017 | Jul 18, 2025 | RICHFIELD, WI | Firm change after gap |
| O••••••••• S••••••••• I••• | Bd affiliated wealth | Oct 17, 2016 | Jan 17, 2017 | no | Wauwatosa, WI|INDIANAPOLIS, IN | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Apr 1, 2016 | Oct 18, 2016 | no | BROOKFIELD, WI | Previous registration |
| 57 |
| Firm change |
| Other |
| B•• H••••• F•••••••• A•••••••• I•• | O••••••••• S••••••••• I••• | Oct 18, 2016 | Oct 17, 2016 | -1 | Firm change | Other |