DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | May 16, 2025 | n/a | yes | CLEVELAND, OH|CHAGRIN FALLS, OH|PLYMOUTH, MN | Current employment |
| M••••• W•••••• L•• | Former SEC adviser | Oct 10, 2017 | May 19, 2025 | no | Mayfield Village, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• W•••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | May 19, 2025 | May 16, 2025 | -3 | Bulk transfer | RIA to ibd |
| S•••••••• A••••••• L•• | M••••• W•••••• L•• | Aug 31, 2017 | Oct 10, 2017 |
| S•••••••• A••••••• L•• | National bd RIA | Apr 12, 2016 | Aug 31, 2017 | no | WOODMERE VILLAGE, OH|WALNUT CREEK, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Aug 16, 2013 | Mar 1, 2016 | no | SAN FRANCISCO, CA|CORTE MADERA, CA|SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| E••••• J•••• | National bd RIA | Aug 30, 2010 | Aug 19, 2013 | no | ST LOUIS, MO|DUBLIN, CA|Modesto, CA | Previous registration |
| 40 |
| Firm change |
| Other |
| W•••• F•••• A••••••• | S•••••••• A••••••• L•• | Mar 1, 2016 | Apr 12, 2016 | 42 | Firm change | Wirehouse to ibd |
| E••••• J•••• | W•••• F•••• A••••••• | Aug 19, 2013 | Aug 16, 2013 | -3 | Firm change | Ibd to wirehouse |