DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••• P••••••• W•••••• L••
INDIANAPOLIS, IN | ST. LOUIS, MO
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 |
|---|---|---|---|---|---|---|
| F•••• P••••••• W•••••• L•• | Independent wealth | Jul 1, 2024 | n/a | yes | INDIANAPOLIS, IN|ST. LOUIS, MO | Current employment |
| B••••••••• S•••••••• W•••••• L•• | Former SEC adviser | Jul 5, 2016 | Nov 14, 2024 | no | Indianapolis, IN|ST LOUIS, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••••• S•••••••• W•••••• L•• | F•••• P••••••• W•••••• L•• | Nov 14, 2024 | Jul 1, 2024 | -136 | Bulk transfer | RIA to RIA |
| F•••••••• E•••••• A•••••• C•••••• L•• | B••••••••• S•••••••• W•••••• L•• | Jun 13, 2016 | Jul 5, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 143152:109238:KS:2015-09-03 | Sep 3, 2015 | Jul 7, 2015 | OVERLAND PARK, KS | Firm change after gap |
| F•••••••• E•••••• A•••••• C•••••• L•• | Former SEC adviser | Jul 7, 2015 | Jun 13, 2016 | no | INDIANAPOLIS, IN|OVERLAND PARK, KS | Previous registration |
| T•• M••••• F••• S•••• | Former SEC adviser | Jun 15, 2015 | Sep 3, 2015 | no | INDIANAPOLIS, IN|OVERLAND PARK, KS | Previous registration |
| 22 |
| Firm change |
| Other |
| T•• M••••• F••• S•••• | F•••••••• E•••••• A•••••• C•••••• L•• | Sep 3, 2015 | Jul 7, 2015 | -58 | Channel change | Other |