DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••• B•••••• A•••••••• 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 |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Feb 13, 2026 | n/a | yes | Naperville, IL|Naperville, IL|Woodridge, IL|Plainfield, IL | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jan 9, 2024 | Feb 13, 2026 | no | SAINT PAUL, MN|Naperville, IL|Plainfield, IL|Naperville, IL|Woodridge, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Feb 13, 2026 | Feb 13, 2026 | 0 | Bulk transfer | Ibd to ibd |
| C•••••••• G••••• M•••••• I••• | U••• B•••••• I••••••••• I••• | Jan 8, 2024 | Jan 9, 2024 |
| Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jan 20, 2022 | Jan 8, 2024 | no | Downers Grove, IL|Bloomingdale, IL|NAPERVILLE, IL|Chicago, IL|Miami, FL|Schaumburg, IL | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Feb 5, 2019 | Jan 4, 2022 | no | WHEATON, IL | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Mar 6, 2018 | Dec 10, 2018 | no | NAPERVILLE, IL | Previous registration |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Nov 17, 2017 | no | BOLINGBROOK, IL | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Nov 20, 2012 | Jan 21, 2014 | no | BOLINGBROOK, IL|ROSEMONT, IL | Previous registration |
| V••••• A•••• M••••••••• I•• | n/a | Mar 25, 2008 | Sep 3, 2009 | no | ROSEMONT, IL | Previous registration |
| 1 |
| Firm change |
| Ibd to ibd |
| J••• M••••• S••••••••• L•• | C•••••••• G••••• M•••••• I••• | Jan 4, 2022 | Jan 20, 2022 | 16 | Firm change | Wirehouse to ibd |
| P•••• S••••••••• L•• | J••• M••••• S••••••••• L•• | Dec 10, 2018 | Feb 5, 2019 | 57 | Firm change | Ibd to wirehouse |
| C••••• I••••••••• A••••••• L•• | P•••• S••••••••• L•• | Nov 17, 2017 | Mar 6, 2018 | 109 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| V••••• A•••• M••••••••• I•• | C••••• I••••••••• S••••••• L•• | Sep 3, 2009 | Nov 20, 2012 | 1,174 | Firm change after gap | Other |