DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W••••• P•••••• C•••••• L••
CINCINNATI, OH | FORT WORTH, KY
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 |
|---|---|---|---|---|---|---|
| O•••• W••••• P•••••• C•••••• L•• | State registered | Feb 25, 2025 | n/a | yes | CINCINNATI, OH|FORT WORTH, KY | Current employment |
| G••••• R•••••• R••••••••• L•• | Independent wealth | Feb 15, 2024 | Nov 4, 2024 | no | Cincinnati, OH|DUBLIN, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••• R•••••• R••••••••• L•• | O•••• W••••• P•••••• C•••••• L•• | Nov 4, 2024 | Feb 25, 2025 | 113 | Firm change | RIA to state RIA |
| V•••• F•••••••• A•••••••• I••• | G••••• R•••••• R••••••••• L•• | Dec 7, 2023 | Feb 15, 2024 |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jun 13, 2022 | Dec 7, 2023 | no | COLUMBUS, OH|COLUMBUS, OH | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 21, 2022 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Feb 4, 2015 | Jul 13, 2018 | no | COVINGTON, KY | Previous registration |
| 70 |
| Firm change |
| Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | V•••• F•••••••• A•••••••• I••• | Mar 21, 2022 | Jun 13, 2022 | 84 | Firm change | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |