DFX Intelligence
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Reading the graph
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Advisor at G••••• P•••••••• L••
LAKE G•••••, 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 |
|---|---|---|---|---|---|---|
| G••••• P•••••••• L•• | Independent wealth | Jun 24, 2016 | n/a | yes | LAKE G•••••, WI | Current employment |
| G••••• P•••••••• L•• | Independent wealth | Jun 24, 2016 | Dec 31, 2017 | no | Lake Geneva, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• A••••••• I••• | G••••• P•••••••• L•• | Jul 5, 2016 | Jun 24, 2016 | -11 | Firm change | Other |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | S••••• A••••••• I••• | Jan 30, 2015 | Jan 30, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 174182:130768:AL:2016-07-05 | Jul 5, 2016 | Jun 24, 2016 | BIRMINGHAM, AL | Firm change |
| S••••• A••••••• I••• | Bd affiliated wealth | Jan 30, 2015 | Jul 5, 2016 | no | BIRMINGHAM, AL | Previous registration |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | Former SEC adviser | Aug 28, 2007 | Jan 30, 2015 | no | YOUNGSTOWN, OH|KEWANEE, IL|YOUNGSTOWN, OH | Previous registration |
| 0 |
| Bulk transfer |
| Other |