DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
••• Locked
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••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 16, 2023 | n/a | yes | Crestview Hills, KY|Taylor Mill, KY|Chardon, OH | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Apr 29, 2019 | Nov 17, 2023 | no | Cincinnati, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Nov 17, 2023 | Nov 16, 2023 | -1 | Firm change | Ibd to ibd |
| P•••• S••••••••• L•• | U••• B•••••• I••••••••• I••• | Apr 30, 2019 | Apr 29, 2019 |
| P•••• S••••••••• L•• | No RAUM reported | Apr 23, 2018 | Apr 30, 2019 | no | CINCINNATI, OH | Previous registration |
| H•••• W••••• M••••••••• | Former SEC adviser | Nov 7, 2007 | Aug 28, 2017 | no | WEST CHESTER, OH|CINCINNATI, OH|Fort Mitchell, KY|CINCINNATI, OH | Previous registration |
| -1 |
| Firm change |
| Ibd to ibd |
| H•••• W••••• M••••••••• | P•••• S••••••••• L•• | Aug 28, 2017 | Apr 23, 2018 | 238 | Firm change | Other |