DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••• E••• A•••••••• L••
CLEVELAND, 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 |
|---|---|---|---|---|---|---|
| P••• E••• A•••••••• L•• | I•••••••••_WEALTH | Jul 14, 2022 | n/a | yes | CLEVELAND, OH | Current employment |
| S•••••• W••••• A••••••• L•• | I•••••••••_WEALTH | Sep 14, 2021 | Nov 30, 2022 | no | AVON LAKE, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••• W••••• A••••••• L•• | P••• E••• A•••••••• L•• | Nov 30, 2022 | Jul 14, 2022 | -139 | Firm change after gap | RIA to new firm |
| A••••• P•••••• W••••• A•••••••• L•• | F•••• A••••• A••••••• S•••••••• I••• | Sep 13, 2021 | Jul 2, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283816:317521:OH:2022-11-30 | Nov 30, 2022 | Jul 14, 2022 | AVON LAKE, OH | Firm change after gap |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jul 2, 2012 | Dec 19, 2017 | no | CHESTERFIELD, MO|BEACHWOOD, OH | Previous registration |
| A••••• P•••••• W••••• A•••••••• L•• | I•••••••••_WEALTH | Jun 27, 2011 | Sep 13, 2021 | no | CLEVELAND, OH | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Jun 20, 2006 | Jul 2, 2012 | no | BEACHWOOD, OH|COLUMBUS, OH | Previous registration |
| I••••••••• A••••••••• | n/a | Jul 23, 2003 | Jul 6, 2006 | no | INDEPENDENCE, OH | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Oct 18, 1999 | May 3, 2006 | no | INDEPENDENCE, OH|INDEPENDENCE, OH | Previous registration |
| -3,360 |
| Firm change after gap |
| Other |
| F•••• A••••• A••••••• S•••••••• I••• | S•••••• W••••• A••••••• L•• | Dec 19, 2017 | Sep 14, 2021 | 1,365 | Firm change after gap | Other |
| F•••• A••••• S••••••••• I••• | A••••• P•••••• W••••• A•••••••• L•• | Jul 2, 2012 | Jun 27, 2011 | -371 | Firm change after gap | Other |
| I••••••••• A••••••••• | F•••• A••••• S••••••••• I••• | Jul 6, 2006 | Jun 20, 2006 | -16 | Firm change | Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | I••••••••• A••••••••• | May 3, 2006 | Jul 23, 2003 | -1,015 | Firm change after gap | Other |