DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••• I••••••••• A•••••••• I•••
MEQUON, 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 |
|---|---|---|---|---|---|---|
| S••••••• I••••••••• A•••••••• I••• | Mixed wealth | Jul 26, 2026 | n/a | yes | MEQUON, WI | Current employment |
| V••• R••••••••• A•••••••• L•• | Other adviser | Feb 19, 2025 | Jun 5, 2026 | no | WINDSOR, CT|Franksville, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••• R••••••••• A•••••••• L•• | S••••••• I••••••••• A•••••••• I••• | Jun 5, 2026 | Jul 26, 2026 | 51 | Firm change | Other |
| O••••••••• S••••••••• I••• | V••• R••••••••• A•••••••• L•• | Feb 8, 2025 | Feb 19, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 4173:3989:IN:2025-02-01 | Feb 8, 2025 | Feb 19, 2025 | INDIANAPOLIS, IN | Firm change |
| O••••••••• S••••••••• I••• | Bd affiliated wealth | Oct 2, 2015 | Feb 8, 2025 | no | Milwaukee, WI|INDIANAPOLIS, IN | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Aug 1, 2012 | Jan 13, 2014 | no | BROOKFIELD, WI | Previous registration |
| M•• I••••••••• M••••••••• C•••• | Former SEC adviser | Apr 28, 2010 | Apr 18, 2012 | no | MILWAUKEE, WI | Previous registration |
| M•• F•••••••• A•••••••• I••• | Former SEC adviser | Mar 24, 2006 | Aug 1, 2012 | no | MILWAUKEE, WI|BROOKFIELD, WI | Previous registration |
| 11 |
| Firm change |
| Other |
| B•• H••••• F•••••••• A•••••••• I•• | O••••••••• S••••••••• I••• | Jan 13, 2014 | Oct 2, 2015 | 627 | Firm change after gap | Other |
| M•• F•••••••• A•••••••• I••• | M•• I••••••••• M••••••••• C•••• | Aug 1, 2012 | Apr 28, 2010 | -826 | Bulk transfer | Other |
| M•• I••••••••• M••••••••• C•••• | B•• H••••• F•••••••• A•••••••• I•• | Apr 18, 2012 | Aug 1, 2012 | 105 | Bulk transfer | Other |