DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••• F•••••••• A•••••••• I•••
COVINGTON, KY | Glenview, IL
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•••••••• A•••••••• I••• | Independent wealth | Sep 9, 2024 | n/a | yes | Glenview, IL|COVINGTON, KY | Current employment |
| A•••• F•••••••• S•••••••• L•• | Independent wealth | Sep 25, 2019 | Aug 19, 2021 | no | DOWNERS GROVE, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E••• F•••••••• A•••••••• L•• | A•••• C•••• I••••••••• L•• | Nov 18, 2024 | Sep 16, 2015 | -3,351 | Firm change after gap | Other |
| A•••• F•••••••• S•••••••• L•• | L••••• F•••••••• A•••••••• I••• | Aug 19, 2021 | Sep 9, 2024 |
| A•••• C•••• I••••••••• L•• | Former SEC adviser | Sep 16, 2015 | Sep 13, 2017 | no | Irvine, CA|COSTA MESA, CA | Previous registration |
| E••• F•••••••• A•••••••• L•• | Former SEC adviser | Sep 8, 2006 | Nov 18, 2024 | no | Wheaton, IL | Previous registration |
| 1,117 |
| Firm change after gap |
| RIA to RIA |
| A•••• C•••• I••••••••• L•• | A•••• F•••••••• S•••••••• L•• | Sep 13, 2017 | Sep 25, 2019 | 742 | Firm change after gap | Other |