DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at L•• F•••••••• L••
ELM 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 1, 2025 | n/a | yes | ELM G••••, WI | Current employment |
| G•••• P•••• A•••••••• L•• | Former SEC adviser | Apr 1, 2021 | May 1, 2025 | no | ROCKVILLE, MD|ROCKVILLE, MD|Elm Grove, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••• P•••• A•••••••• L•• | L•• F•••••••• L•• | May 1, 2025 | May 1, 2025 | 0 | Bulk transfer | Ibd to ibd |
| H• B•••• I••• | A•••• W••••• M••••••••• L•• | Apr 1, 2021 | Dec 6, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 127987:313171:WI:2019-04-30 | Apr 30, 2019 | Apr 1, 2021 | BROOKFIELD, WI | Firm change after gap |
| A•••• W••••• M••••••••• L•• | Independent wealth | Dec 6, 2012 | Apr 30, 2019 | no | BROOKFIELD, WI | Previous registration |
| H• B•••• I••• | Former SEC adviser | Dec 16, 2009 | Apr 1, 2021 | no | ELM G••••, WI|ELM G••••, WI|ROCKVILLE, MD | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | Dec 22, 2009 | no | BROOKFIELD, WI | Previous registration |
| S••••••• P•••••••• A••••••••• S•••••• I•• | n/a | Oct 16, 2002 | Dec 31, 2003 | no | BROOKFIELD, WI | Previous registration |
| W••••••••• F•••••••• G••••• I••• | n/a | Oct 3, 2002 | Sep 8, 2009 | no | BROOKFIELD, WI|BOSTON, MA|BROOKFIELD, WI | Previous registration |
| F•• A••••••• S••••••• I•• | n/a | Feb 11, 1993 | Oct 3, 2002 | no | BROOKFIELD, WI | Previous registration |
| -3,038 |
| Firm change after gap |
| Other |
| A•••• W••••• M••••••••• L•• | G•••• P•••• A•••••••• L•• | Apr 30, 2019 | Apr 1, 2021 | 702 | Firm change after gap | RIA to ibd |
| L•• F•••••••• L•• | H• B•••• I••• | Dec 22, 2009 | Dec 16, 2009 | -6 | Firm change | Other |
| W••••••••• F•••••••• G••••• I••• | S••••••• P•••••••• A••••••••• S•••••• I•• | Sep 8, 2009 | Oct 16, 2002 | -2,519 | Firm change after gap | Other |
| S••••••• P•••••••• A••••••••• S•••••• I•• | L•• F•••••••• L•• | Dec 31, 2003 | Sep 8, 2009 | 2,078 | Firm change after gap | Other |
| F•• A••••••• S••••••• I•• | W••••••••• F•••••••• G••••• I••• | Oct 3, 2002 | Oct 3, 2002 | 0 | Firm change | Other |