DFX Intelligence
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Reading the graph
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Advisor at O•••••••
Las Vegas, NV | BEACHWOOD, 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 |
|---|---|---|---|---|---|---|
| O••••••• | Independent wealth | May 31, 2023 | n/a | yes | Las Vegas, NV|BEACHWOOD, OH | Current employment |
| R•• O•• C•••••• M••••••••• I••• | Former SEC adviser | Feb 26, 2019 | Aug 1, 2023 | no | OAK BROOK, IL|LAS VEGAS, NV |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• O•• C•••••• M••••••••• I••• | O••••••• | Aug 1, 2023 | May 31, 2023 | -62 | Firm change after gap | RIA to RIA |
| H••••• R•••• | R•• O•• C•••••• M••••••••• I••• | Jan 4, 2019 | Feb 26, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 170037:284188:NC:2019-01-04 | Jan 4, 2019 | Feb 26, 2019 | CHARLOTTE, NC | Firm change |
| H••••• R•••• | Former SEC adviser | Aug 10, 2016 | Jan 4, 2019 | no | Oak Brook, IL|CHARLOTTE, NC | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Oct 12, 2010 | Aug 9, 2016 | no | OAK BROOK, IL | Previous registration |
| 53 |
| Firm change |
| RIA to RIA |
| E•••••••• A•••••••• L•• | H••••• R•••• | Aug 9, 2016 | Aug 10, 2016 | 1 | Firm change | Other |