DFX Intelligence
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Reading the graph
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Advisor at D•••••• C•••••• L••
OAK BROOK, IL
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•••••• C•••••• L•• | State registered | Jan 1, 2022 | n/a | yes | OAK BROOK, IL | Current employment |
| A••••• F•••••••• P•••••••• I••• | Independent wealth | May 20, 2016 | Dec 31, 2021 | no | Bartlett, IL|DOWNERS GROVE, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• F•••••••• P•••••••• I••• | D•••••• C•••••• L•• | Dec 31, 2021 | Jan 1, 2022 | 1 | Firm change | RIA to state RIA |
| M••••• L•• | A••••• F•••••••• P•••••••• I••• | May 24, 2016 | May 20, 2016 |
| M••••• L•• | Independent wealth | Oct 3, 2014 | May 24, 2016 | no | CHICAGO, IL|RADNOR, PA | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Apr 16, 2012 | Oct 3, 2014 | no | CHICAGO, IL|PHILADELPHIA, PA | Previous registration |
| -4 |
| Firm change |
| Other |
| V••• F•••••••• A•••••••• I••• | M••••• L•• | Oct 3, 2014 | Oct 3, 2014 | 0 | Bulk transfer | Other |