DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••••• S••••••••• I•••
DOWNERS GROVE, IL
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 |
|---|---|---|---|---|---|---|
| P•••••••• S••••••••• I••• | Bd affiliated wealth | Jul 1, 2025 | n/a | yes | DOWNERS GROVE, IL | Current employment |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Dec 11, 2023 | Jun 23, 2025 | no | EVANSTON, IL|Chicago, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• A•• P••••••• S••••••• | P•••••••• S••••••••• I••• | Jun 23, 2025 | Jul 1, 2025 | 8 | Firm change | Ibd to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••• A•• P••••••• S••••••• | Nov 17, 2023 | Dec 11, 2023 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Sep 18, 2020 | Nov 17, 2023 | no | CHICAGO, IL|NEW YORK, NY|NORTHBROOK, IL | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Sep 17, 2019 | Aug 18, 2020 | no | Davenport, IA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Sep 17, 2019 | Aug 18, 2020 | no | DAVENPORT, IA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 27, 2018 | Jul 25, 2019 | no | WILMETTE, IL | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Jul 25, 2019 | no | OMAHA, NE|WILMETTE, IL | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Nov 15, 2016 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| E••••• J•••• | National bd RIA | Apr 7, 2014 | Jan 23, 2015 | no | Maryland Heights, MO|Maryland Heights, MO|LAKE ZURICH, IL | Previous registration |
| 24 |
| Firm change |
| Wirehouse to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Aug 18, 2020 | Sep 17, 2019 | -336 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Aug 18, 2020 | Sep 17, 2019 | -336 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jul 25, 2019 | Feb 27, 2018 | -513 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 25, 2019 | Sep 17, 2019 | 54 | Firm change | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| E••••• J•••• | S•••••••• I••••••••• M••••••••• | Jan 23, 2015 | Nov 15, 2016 | 662 | Firm change after gap | Other |