DFX Intelligence
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Reading the graph
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Advisor at C••••••••
LOUISVILLE, KY
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 |
|---|---|---|---|---|---|---|
| C•••••••• | Independent wealth | Jan 4, 2024 | n/a | yes | LOUISVILLE, KY | Current employment |
| O••••••••• S••••••••• I••• | Bd affiliated wealth | Aug 9, 2022 | Dec 7, 2023 | no | Louisville, KY|INDIANAPOLIS, IN|Louisville, KY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••••••• S••••••••• I••• | C•••••••• | Dec 7, 2023 | Jan 4, 2024 | 28 | Firm change | Ibd to RIA |
| C•••••• F•••••••• L•• | O••••••••• S••••••••• I••• | Aug 6, 2022 | Aug 9, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 171988:300279:ID:2019-02-18 | Feb 18, 2019 | Feb 14, 2019 | MERIDIAN, ID | Firm change |
| C•••••• F•••••••• L•• | State registered | Oct 23, 2019 | Aug 6, 2022 | no | Louisville, KY|LEXINGTON, KY | Previous registration |
| I•••••• A•••••••• L•• | Independent wealth | Feb 14, 2019 | Oct 22, 2019 | no | Louisville, KY|MERIDIAN, ID | Previous registration |
| I•••••• I••••••••• L•• | Asset manager | Aug 9, 2017 | Feb 18, 2019 | no | Louisville, KY|MERIDIAN, ID | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Apr 22, 2014 | Apr 10, 2015 | no | LEXINGTON, KY|LOUISVILLE, KY | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Jan 2, 2009 | Aug 10, 2012 | no | LOUISVILLE, KY | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Feb 5, 2008 | Jan 2, 2009 | no | LOUISVILLE, KY|LOUISVILLE, KY | Previous registration |
| G• A• R••••• • C•••••• | Bd affiliated wealth | Jun 1, 2005 | May 12, 2006 | no | LOUISVILLE, KY | Previous registration |
| Firm change |
| Other |
| I•••••• A•••••••• L•• | C•••••• F•••••••• L•• | Oct 22, 2019 | Oct 23, 2019 | 1 | Firm change | Other |
| I•••••• I••••••••• L•• | I•••••• A•••••••• L•• | Feb 18, 2019 | Feb 14, 2019 | -4 | Firm change | Other |
| O•••• F•• I••• | I•••••• I••••••••• L•• | Apr 10, 2015 | Aug 9, 2017 | 852 | Firm change after gap | Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | O•••• F•• I••• | Aug 10, 2012 | Apr 22, 2014 | 620 | Firm change after gap | Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Jan 2, 2009 | Jan 2, 2009 | 0 | Bulk transfer | Other |
| G• A• R••••• • C•••••• | R•••••• J•••• F•••••••• S•••••••• I••• | May 12, 2006 | Feb 5, 2008 | 634 | Firm change after gap | Other |