DFX Intelligence
Reading the graph
Reading the graph
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Advisor at K•••••••• W••••• M••••••••• L••
UNION, SC
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 |
|---|---|---|---|---|---|---|
| K•••••••• W••••• M••••••••• L•• | State registered | Jan 6, 2021 | n/a | yes | UNION, SC | Current employment |
| K••••• A•••••••• I••• | Bd affiliated wealth | Jan 5, 2015 | Jan 29, 2021 | no | UNION, SC|FT. LAUDERDALE, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A•••••••• I••• | K•••••••• W••••• M••••••••• L•• | Jan 29, 2021 | Jan 6, 2021 | -23 | Firm change | Ibd to state RIA |
| R••••••• H••••••• I••••••••• A•••••••• I••• | K••••• A•••••••• I••• | Dec 31, 2014 | Jan 5, 2015 |
| R••••••• H••••••• I••••••••• A•••••••• I••• | Former SEC adviser | Jan 8, 2008 | Dec 31, 2014 | no | UNION, SC | Previous registration |
| R••••••• H••••••• G•••• L•• | n/a | Apr 12, 2001 | Dec 31, 2007 | no | MARIETTA, GA|COLUMBIA, SC|UNION, SC|UNION, SC | Previous registration |
| 5 |
| Bulk transfer |
| Other |
| R••••••• H••••••• G•••• L•• | R••••••• H••••••• I••••••••• A•••••••• I••• | Dec 31, 2007 | Jan 8, 2008 | 8 | Firm change | Other |