DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• M•••••••••
ROCKFORD, IL | GREENWOOD, IN
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••••• W••••• M••••••••• | Independent wealth | Sep 16, 2021 | n/a | yes | ROCKFORD, IL|GREENWOOD, IN | Current employment |
| T••••••••• W••••• P••••••• | Former SEC adviser | Jan 3, 2011 | Dec 17, 2021 | no | GREENWOOD, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••••••• W••••• P••••••• | S••••• W••••• M••••••••• | Dec 17, 2021 | Sep 16, 2021 | -92 | Firm change after gap | RIA to RIA |
| W••••••••• A••••••• L•• | T••••••••• W••••• P••••••• | Jan 4, 2011 | Jan 3, 2011 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 122730:107271:IN:2021-12-17 | Dec 17, 2021 | Sep 16, 2021 | GREENWOOD, IN | Firm change after gap |
| W••••••••• A••••••• L•• | Former SEC adviser | Sep 25, 2009 | Jan 4, 2011 | no | INDIANAPOLIS, IN | Previous registration |
| P••• W••••• M••••••••• | Independent wealth | Jan 11, 2002 | Oct 20, 2009 | no | INDIANAPOLIS, IN | Previous registration |
| -1 |
| Firm change |
| Other |
| P••• W••••• M••••••••• | W••••••••• A••••••• L•• | Oct 20, 2009 | Sep 25, 2009 | -25 | Firm change | Other |