DFX Intelligence
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Reading the graph
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Advisor at G••••• R••••••••• P••••••• L••
SAN RAFAEL, CA | Barrington, RI
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 |
|---|---|---|---|---|---|---|
| G••••• R••••••••• P••••••• L•• | Institutional manager | May 16, 2024 | n/a | yes | SAN RAFAEL, CA|Barrington, RI | Current employment |
| T••••••••• R••••••••• A•••••••• L•• | Bd affiliated wealth | Sep 30, 2021 | Oct 2, 2023 | no | Frankfort, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••••••• R••••••••• A•••••••• L•• | G••••• R••••••••• P••••••• L•• | Oct 2, 2023 | May 16, 2024 | 227 | Firm change | Other |
| P•••••••• | T••••••••• R••••••••• A•••••••• L•• | Nov 9, 2018 | Sep 30, 2021 |
| P•••••••• | Institutional manager | Oct 17, 2017 | Nov 9, 2018 | no | CHICAGO, IL | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Mar 2, 2016 | Jul 21, 2017 | no | FRANKFORT, IL|PALOS HEIGHTS, IL|CHANNAHON, IL|HICKORY HILLS, IL|OAK FOREST, IL|ALSIP, IL|PALOS HEIGHTS, IL | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Feb 12, 2015 | Feb 17, 2016 | no | FRANKFORT, IL|OAK BROOK, IL|OAK BROOK, IL | Previous registration |
| 1,056 |
| Firm change after gap |
| Other |
| J••• M••••• S••••••••• L•• | P•••••••• | Jul 21, 2017 | Oct 17, 2017 | 88 | Firm change | Other |
| E•••••••• A•••••••• L•• | J••• M••••• S••••••••• L•• | Feb 17, 2016 | Mar 2, 2016 | 14 | Firm change | Ibd to wirehouse |