DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••• A••••••• G••••• I•••
WILMINGTON, DE
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 |
|---|---|---|---|---|---|---|
| D••••••• A••••••• G••••• I••• | State registered | May 20, 2025 | n/a | yes | WILMINGTON, DE | Current employment |
| C••••••••• S••••••••• L•• | Bd affiliated wealth | Oct 24, 2023 | Dec 31, 2024 | no | Wilmington, DE|OVERLAND PARK, KS|OVERLAND PARK, KS|Wilmington, DE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• S••••••••• L•• | D••••••• A••••••• G••••• I••• | Dec 31, 2024 | May 20, 2025 | 140 | Firm change | Ibd to state RIA |
| A•••••••• C•••••• W••••• M••••••••• L•• | C••••••••• S••••••••• L•• | Oct 9, 2023 | Oct 24, 2023 |
| A•••••••• C•••••• W••••• M••••••••• L•• | Independent wealth | Sep 13, 2023 | Oct 9, 2023 | no | RED BANK, NJ | Previous registration |
| B••••••••• A•••• M••••••••• L•• | Independent wealth | Jan 7, 2020 | Sep 13, 2023 | no | Wilmington, DE|JUPITER, FL | Previous registration |
| B•• P•••••••• I••• | Bd affiliated wealth | Jul 5, 2017 | Dec 19, 2019 | no | Wilmington, DE|CEDAR RAPIDS, IA | Previous registration |
| K••••• A•••••••• I••• | Bd affiliated wealth | Apr 14, 2008 | Jun 20, 2017 | no | FT. LAUDERDALE, FL|WILMINGTON, DE | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Jun 6, 2007 | Apr 18, 2008 | no | APPLETON, WI|WILMINGTON, DE | Previous registration |
| D••••••• A••••••• G••••• I••• | n/a | Jan 1, 1989 | Dec 31, 2017 | no | WILMINGTON, DE | Previous registration |
| 15 |
| Firm change |
| RIA to ibd |
| B••••••••• A•••• M••••••••• L•• | A•••••••• C•••••• W••••• M••••••••• L•• | Sep 13, 2023 | Sep 13, 2023 | 0 | Firm change | Ibd to RIA |
| B•• P•••••••• I••• | B••••••••• A•••• M••••••••• L•• | Dec 19, 2019 | Jan 7, 2020 | 19 | Firm change | Ibd to RIA |
| D••••••• A••••••• G••••• I••• | I••••• F•••••••• C••••••••• | Dec 31, 2017 | Jun 6, 2007 | -3,861 | Firm change after gap | Other |
| K••••• A•••••••• I••• | B•• P•••••••• I••• | Jun 20, 2017 | Jul 5, 2017 | 15 | Firm change | Other |
| I••••• F•••••••• C••••••••• | K••••• A•••••••• I••• | Apr 18, 2008 | Apr 14, 2008 | -4 | Firm change | Other |