DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
WESTLAKE, OH | MEDINA, 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 | MEDINA, OH|WESTLAKE, OH | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Feb 20, 2024 | Mar 31, 2025 | no | WESTLAKE, 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 |
| N••••••••• R••••••• P•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Nov 6, 2023 | Feb 20, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 129052:151829:OH:2017-01-11 | Jan 24, 2017 | Feb 24, 2017 | COLUMBUS, OH | Firm change |
| N••••••••• R••••••• P•••••••• L•• | State registered | Jun 23, 2023 | Nov 6, 2023 | no | CLEVELAND, OH | Previous registration |
| H••••••••• F•••••••• A••••••• | Bd affiliated wealth | Apr 30, 2020 | Mar 23, 2022 | no | PEPPER PIKE, OH|SOLON, OH | Previous registration |
| P•• C•••••• A••••••• L•• | Other adviser | Feb 24, 2017 | Nov 18, 2019 | no | Cleveland, OH | Previous registration |
| P•• W••••• M••••••••• | Bd affiliated wealth | Jul 8, 2010 | Jan 24, 2017 | no | CLEVELAND, OH|BRECKSVILLE, OH|ASHLAND, OH|COLUMBUS, OH | Previous registration |
| E••••• J•••• | National bd RIA | Oct 13, 2009 | May 13, 2010 | no | STRONGSVILLE, OH|MEDINA, OH|ST LOUIS, MO | Previous registration |
| 106 |
| Firm change |
| Other |
| H••••••••• F•••••••• A••••••• | N••••••••• R••••••• P•••••••• L•• | Mar 23, 2022 | Jun 23, 2023 | 457 | Firm change after gap | Ibd to state RIA |
| P•• C•••••• A••••••• L•• | H••••••••• F•••••••• A••••••• | Nov 18, 2019 | Apr 30, 2020 | 164 | Firm change | Other |
| P•• W••••• M••••••••• | P•• C•••••• A••••••• L•• | Jan 24, 2017 | Feb 24, 2017 | 31 | Firm change | Other |
| E••••• J•••• | P•• W••••• M••••••••• | May 13, 2010 | Jul 8, 2010 | 56 | Firm change | Other |