DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
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 |
|---|---|---|---|---|---|---|
| N•••••••• P•••••••• L•• | Independent wealth | Sep 22, 2026 | n/a | yes | MINNEAPOLIS, MN|Madison, WI | Current employment |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Sep 24, 2026 | no | Wauwatosa, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | N•••••••• P•••••••• L•• | Sep 24, 2026 | Sep 22, 2026 | -2 | Firm change | Ibd to RIA |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10409:167908:WI:2026-09-22 | Sep 24, 2026 | Sep 22, 2026 | WAUWATOSA, WI | Firm change |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | Milwaukee, WI | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | May 22, 1998 | Jan 2, 2015 | no | BROOKFIELD, WI|WAUKESHA, WI | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |