DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• A•••• M••••••••• L•••••
TROY, MI
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 |
|---|---|---|---|---|---|---|
| S••••• A•••• M••••••••• L••••• | Independent wealth | Nov 1, 2018 | n/a | yes | TROY, MI | Current employment |
| F•••••••• E••••• S•••••••• I••• | Former SEC adviser | Jun 22, 2015 | Nov 5, 2018 | no | LIVONIA, MI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• E••••• S•••••••• I••• | S••••• A•••• M••••••••• L••••• | Nov 5, 2018 | Nov 1, 2018 | -4 | Firm change | Ibd to RIA |
| S•••••••• F••••••••• I••• | F•••••••• E••••• S•••••••• I••• | Jun 18, 2015 | Jun 22, 2015 |
| S•••••••• F••••••••• I••• | Former SEC adviser | Jan 2, 2014 | Jun 18, 2015 | no | SCOTTSDALE, AZ|PHOENIX, AZ|TROY, MI | Previous registration |
| O••••••••• S••••••••• I••• | Bd affiliated wealth | Dec 1, 2009 | Dec 21, 2013 | no | LANSING, MI|INDIANAPOLIS, IN|FERNDALE, MI|AUBURN HILLS, MI | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jul 24, 2002 | Dec 31, 2005 | no | TROY, MI|TROY, MI | Previous registration |
| 4 |
| Firm change |
| Other |
| O••••••••• S••••••••• I••• | S•••••••• F••••••••• I••• | Dec 21, 2013 | Jan 2, 2014 | 12 | Firm change | Other |
| E•••••••• A•••••••• L•• | O••••••••• S••••••••• I••• | Dec 31, 2005 | Dec 1, 2009 | 1,431 | Firm change after gap | Other |