DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O••••••• A••••••• S••••••• L••
Appleton, 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 |
|---|---|---|---|---|---|---|
| O••••••• A••••••• S••••••• L•• | Independent wealth | Feb 16, 2021 | n/a | yes | Appleton, WI | Current employment |
| F•••••••• G•••••• A•••• M••••••••• I••• | Independent wealth | Oct 1, 2015 | Mar 23, 2020 | no | APPLETON, WI|AUSTIN, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• G•••••• A•••• M••••••••• I••• | O••••••• A••••••• S••••••• L•• | Mar 23, 2020 | Feb 16, 2021 | 330 | Firm change | RIA to RIA |
| R•••••• W••••• A•••••••• I••• | F•••••••• G•••••• A•••• M••••••••• I••• | Jul 29, 2016 | Oct 1, 2015 |
| R•••••• W••••• A•••••••• I••• | Independent wealth | Jan 9, 2012 | Jul 29, 2016 | no | APPLETON, WI | Previous registration |
| M••••••••• I••••••••• S•••••••• I••• | Former SEC adviser | Jan 13, 2011 | Dec 8, 2011 | no | NEOSHO, MO | Previous registration |
| H•••••• I••••••••• I••• | Independent wealth | Mar 1, 2007 | Aug 24, 2010 | no | APPLETON, WI|NEENAH, WI | Previous registration |
| -302 |
| Firm change after gap |
| Other |
| M••••••••• I••••••••• S•••••••• I••• | R•••••• W••••• A•••••••• I••• | Dec 8, 2011 | Jan 9, 2012 | 32 | Firm change | Other |
| H•••••• I••••••••• I••• | M••••••••• I••••••••• S•••••••• I••• | Aug 24, 2010 | Jan 13, 2011 | 142 | Firm change | Other |