DFX Intelligence
Data Factory
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at S•••••••• A••••••• L••
COVINGTON, KY | CINCINNATI, OH
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 | COVINGTON, KY|COVINGTON, KY|CINCINNATI, OH|CINCINNATI, OH | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|CINCINNATI, OH |
| 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 |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | May 19, 2015 | Jul 13, 2018 | no | SCOTTSDALE, AZ | Previous registration |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jun 30, 2003 | Feb 27, 2015 | no | PHOENIX, AZ | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| 1•• G••••• A••••••• I•• | S•••••••• A••••••• L•• | Feb 27, 2015 | May 19, 2015 | 81 | Firm change | Other |