DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B••••••• • C•• W••••• M••••••••• L••
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| B••••••• • C•• W••••• M••••••••• L•• | Independent wealth | Dec 8, 2023 | n/a | yes | CINCINNATI, OH | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jul 24, 2017 | Mar 26, 2019 | no | Louisville, KY|Louisville, KY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | B••••••• • C•• W••••• M••••••••• L•• | Mar 26, 2019 | Dec 8, 2023 | 1,718 | Firm change after gap | Ibd to RIA |
| M•• I•••••••• S•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Jul 27, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10409:134139:KY:2017-07-27 | Jul 27, 2017 | Jul 24, 2017 | LOUISVILLE, KY | Firm change |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Jul 27, 2017 | no | LOUISVILLE, KY | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 17, 2016 | Mar 25, 2017 | no | LOUISVILLE, KY | Previous registration |
| -3 |
| Firm change |
| Other |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |