DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••••••••• W••••• L••
OAKBROOK, 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 |
|---|---|---|---|---|---|---|
| R••••••••• W••••• L•• | Independent wealth | Oct 2, 2024 | n/a | yes | OAKBROOK, IL | Current employment |
| A•••••••• C•••••• L•• | Independent wealth | Apr 6, 2023 | Apr 22, 2024 | no | Glendale, CO|LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••••• C•••••• L•• | R••••••••• W••••• L•• | Apr 22, 2024 | Oct 2, 2024 | 163 | Firm change | RIA to RIA |
| C••••••• W••••• M••••••••• | A•••••••• C•••••• L•• | Apr 7, 2023 | Apr 6, 2023 |
| C••••••• W••••• M••••••••• | Former SEC adviser | Oct 10, 2019 | Apr 7, 2023 | no | DEERFIELD, IL|BEVERLY HILLS, CA | Previous registration |
| T•• A•••••••• I••• | Bd affiliated wealth | Aug 22, 2019 | Dec 31, 2019 | no | Northbrook, IL|SUMMIT, NJ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 10, 2016 | Jul 2, 2019 | no | CHANDLER, AZ | Previous registration |
| -1 |
| Firm change |
| RIA to RIA |
| T•• A•••••••• I••• | C••••••• W••••• M••••••••• | Dec 31, 2019 | Oct 10, 2019 | -82 | Firm change after gap | Ibd to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T•• A•••••••• I••• | Jul 2, 2019 | Aug 22, 2019 | 51 | Firm change | Wirehouse to ibd |