DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
WEST LAFAYETTE, IN
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | WEST LAFAYETTE, IN|WEST LAFAYETTE, IN | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Aug 18, 2021 | Mar 31, 2025 | no | WEST LAFAYETTE, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| R•••• I••••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 15, 2021 | Aug 18, 2021 |
| R•••• I••••••••• A••••••• L•• | Bd affiliated wealth | Mar 16, 2020 | Jul 15, 2021 | no | KENTWOOD, MI|Lafayette, IN | Previous registration |
| A•••• M••••••••• S••••••••• I••• | Independent wealth | Apr 21, 2017 | Oct 6, 2017 | no | Lafayette, IN | Previous registration |
| 34 |
| Firm change |
| Ibd to ibd |
| A•••• M••••••••• S••••••••• I••• | R•••• I••••••••• A••••••• L•• | Oct 6, 2017 | Mar 16, 2020 | 892 | Firm change after gap | Other |