DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
BROOKFIELD, WI
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•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | n/a | yes | BROOKFIELD, WI | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Apr 21, 2017 | Jan 19, 2024 | no | BROOKFIELD, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| M•• A•••••••• L•• | W••••••• F•••••••• S•••••••• I••• | Oct 30, 2017 | Apr 21, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 155997:421:WI:2017-10-30 | Oct 30, 2017 | Apr 21, 2017 | BROOKFIELD, WI | Firm change after gap |
| M•• A•••••••• L•• | Former SEC adviser | Feb 28, 2011 | Oct 30, 2017 | no | BROOKFIELD, WI | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 9, 2000 | Feb 28, 2011 | no | BROOKFIELD, WI|BROOKFIELD, WI | Previous registration |
| -192 |
| Firm change after gap |
| Other |
| S••••••• F•••••••• S•••••••• I••• | M•• A•••••••• L•• | Feb 28, 2011 | Feb 28, 2011 | 0 | Firm change | Other |