DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F•••••••• S••••••••• L••
DAYTON, OH
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 |
|---|---|---|---|---|---|---|
| A••••••• F•••••••• S••••••••• L•• | Mixed wealth | Feb 16, 2018 | n/a | yes | DAYTON, OH | Current employment |
| C••••• • C••••••• I••• | Former SEC adviser | Oct 12, 2012 | Mar 15, 2018 | no | DAYTON, OH|DAYTON, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• • C••••••• I••• | A••••••• F•••••••• S••••••••• L•• | Mar 15, 2018 | Feb 16, 2018 | -27 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C••••• • C••••••• I••• | Oct 17, 2012 | Oct 12, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 22449:290343:OH:2018-03-15 | Mar 15, 2018 | Feb 16, 2018 | DAYTON, OH | Firm change |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 13, 2007 | Oct 17, 2012 | no | MIAMISBURG, OH | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 16, 2007 | Sep 25, 2007 | no | Miamisburg, OH | Previous registration |
| -5 |
| Firm change |
| Other |
| U•• F•••••••• S••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Sep 25, 2007 | Dec 13, 2007 | 79 | Firm change | Wirehouse to wirehouse |