DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E••••••• C•••••• M••••••••• L••
DOWNER'S 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 |
|---|---|---|---|---|---|---|
| E••••••• C•••••• M••••••••• L•• | State registered | Sep 10, 2024 | n/a | yes | DOWNER'S GROVE, IL | Current employment |
| I•• W••••• M••••••••• L•• | Bd affiliated wealth | Mar 11, 2020 | Oct 11, 2024 | no | OAKBROOK TERRACE, IL|CHICAGO, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I•• W••••• M••••••••• L•• | E••••••• C•••••• M••••••••• L•• | Oct 11, 2024 | Sep 10, 2024 | -31 | Firm change after gap | Ibd to state RIA |
| J••• M••••• S••••••••• L•• | I•• W••••• M••••••••• L•• | Nov 25, 2019 | Mar 11, 2020 |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 1, 2012 | Nov 25, 2019 | no | CHICAGO, IL|CAROL STREAM, IL | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Feb 1, 2008 | Oct 1, 2012 | no | CHICAGO, IL | Previous registration |
| W•••••• • R••• | Former SEC adviser | Aug 23, 2007 | Sep 25, 2007 | no | SAVAGE, MN | Previous registration |
| 107 |
| Firm change |
| Wirehouse to RIA |
| C•••• I••••••••• S••••••• C•••• | J••• M••••• S••••••••• L•• | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| W•••••• • R••• | C•••• I••••••••• S••••••• C•••• | Sep 25, 2007 | Feb 1, 2008 | 129 | Firm change | Other |