DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• W••••• M••••••••• • T•• P••••••• I•••
LOUISVILLE, KY
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 |
|---|---|---|---|---|---|---|
| W••••• W••••• M••••••••• • T•• P••••••• I••• | State registered | Sep 15, 2021 | n/a | yes | LOUISVILLE, KY | Current employment |
| G••••••• A•••••••• L•• | Independent wealth | Sep 21, 2018 | Dec 31, 2019 | no | Arden Hills, MN|Louisville, KY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••••• A•••••••• L•• | W••••• W••••• M••••••••• • T•• P••••••• I••• | Dec 31, 2019 | Sep 15, 2021 | 624 | Firm change after gap | RIA to state RIA |
| J• H•••• C••••••• I••• | G••••••• A•••••••• L•• | Aug 13, 2018 | Sep 21, 2018 |
| J• H•••• C••••••• I••• | Independent wealth | Sep 17, 2013 | Aug 13, 2018 | no | LOUISVILLE, KY | Previous registration |
| M•••••• A••••• S••••••••• L•• | Bd affiliated wealth | Mar 25, 2009 | Sep 6, 2013 | no | SAN DIEGO, CA|LOUISVILLE, KY | Previous registration |
| M•••••• A••••• A•••••••• I••• | n/a | Jan 5, 2009 | Mar 25, 2009 | no | SAN DIEGO, CA | Previous registration |
| I•••••••• C•••••• A••••••• | Former SEC adviser | Feb 14, 2005 | Dec 31, 2008 | no | LOUISVILLE, KY|LYNNFIELD, MA|LOUISVILLE, KY|GILFORD, NH|LYNNFIELD, MA | Previous registration |
| 39 |
| Firm change |
| RIA to RIA |
| M•••••• A••••• S••••••••• L•• | J• H•••• C••••••• I••• | Sep 6, 2013 | Sep 17, 2013 | 11 | Firm change | Other |
| M•••••• A••••• A•••••••• I••• | M•••••• A••••• S••••••••• L•• | Mar 25, 2009 | Mar 25, 2009 | 0 | Bulk transfer | Other |
| I•••••••• C•••••• A••••••• | M•••••• A••••• A•••••••• I••• | Dec 31, 2008 | Jan 5, 2009 | 5 | Firm change | Other |