DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at M••••••• A•••••••
CARMEL, IN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| M••••••• A••••••• | State registered | May 30, 2024 | n/a | yes | CARMEL, IN | Current employment |
| O••••• F•••••••• G••••• L•• | Independent wealth | Aug 15, 2016 | Nov 6, 2019 | no | Carmel, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••• F•••••••• G••••• L•• | M••••••• A••••••• | Nov 6, 2019 | May 30, 2024 | 1,667 | Firm change after gap | RIA to state RIA |
| A•••• I••••••••• M••••••••• L•• | O••••• F•••••••• G••••• L•• | Jun 30, 2015 | Aug 15, 2016 |
| A•••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 14, 2014 | Jun 30, 2015 | no | CHICAGO, IL | Previous registration |
| B• R•••• W••••• A•••••••• I••• | Bd affiliated wealth | Sep 20, 2013 | Apr 10, 2014 | no | CHICAGO, IL | Previous registration |
| A•• A•••••• S••••••• L•• | n/a | Jun 11, 2007 | May 12, 2008 | no | CALABASAS, CA | Previous registration |
| 412 |
| Firm change after gap |
| Other |
| B• R•••• W••••• A•••••••• I••• | A•••• I••••••••• M••••••••• L•• | Apr 10, 2014 | Apr 14, 2014 | 4 | Firm change | Other |
| A•• A•••••• S••••••• L•• | B• R•••• W••••• A•••••••• I••• | May 12, 2008 | Sep 20, 2013 | 1,957 | Firm change after gap | Other |