DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• I•••••••••
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•••• I••••••••• | State registered | Jul 13, 2024 | n/a | yes | Dayton, OH | Current employment |
| J• W• C••• A•••••••• I••• | Bd affiliated wealth | Apr 17, 2019 | Jul 22, 2024 | no | DAYTON, OH|TAMPA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J• W• C••• A•••••••• I••• | A•••• I••••••••• | Jul 22, 2024 | Jul 13, 2024 | -9 | Firm change | Ibd to state RIA |
| G••••• F•••••••• P•••••• C••••••• I••• | J• W• C••• A•••••••• I••• | Apr 23, 2019 | Apr 17, 2019 |
| G••••• F•••••••• P•••••• C••••••• I••• | Former SEC adviser | Mar 14, 2018 | Apr 23, 2019 | no | DAYTON, OH|SARASOTA, FL|DAYTON, OH | Previous registration |
| R•••••• W••••• A•••••••• I••• | Independent wealth | Sep 3, 2014 | Oct 26, 2017 | no | DAYTON, OH | Previous registration |
| F••••••• F•••••••• S••••••••• L•• | Independent wealth | Aug 21, 2012 | Sep 2, 2014 | no | DAYTON, OH|DAYTON, OH|TOWSON, MD | Previous registration |
| B••••••••• L•• | Former SEC adviser | Feb 1, 2012 | Aug 23, 2012 | no | DAYTON, OH|CHICAGO, IL|DAYTON, OH|CHICAGO, IL | Previous registration |
| W••••••••• F•••••••• A••••••• C••• | Independent wealth | Jan 9, 2003 | Dec 31, 2011 | no | VANDALIA, OH | Previous registration |
| -6 |
| Bulk transfer |
| Ibd to ibd |
| R•••••• W••••• A•••••••• I••• | G••••• F•••••••• P•••••• C••••••• I••• | Oct 26, 2017 | Mar 14, 2018 | 139 | Firm change | Other |
| F••••••• F•••••••• S••••••••• L•• | R•••••• W••••• A•••••••• I••• | Sep 2, 2014 | Sep 3, 2014 | 1 | Firm change | Other |
| B••••••••• L•• | F••••••• F•••••••• S••••••••• L•• | Aug 23, 2012 | Aug 21, 2012 | -2 | Firm change | Other |
| W••••••••• F•••••••• A••••••• C••• | B••••••••• L•• | Dec 31, 2011 | Feb 1, 2012 | 32 | Firm change | Other |