DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
MOUNT PROSPECT, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 10, 2025 | n/a | yes | MOUNT PROSPECT, IL | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | Sep 11, 2025 | no | MOUNT PROSPECT, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | C••••• I••••••••• A••••••• L•• | Sep 11, 2025 | Sep 10, 2025 | -1 | Firm change | Ibd to ibd |
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 1, 2012 | Jan 19, 2024 | no | NILES, IL|NAPLES, FL|MOUNT PROSPECT, IL | Previous registration |
| B•••••• F•••••••• G••••• I••• | Former SEC adviser | Dec 5, 2011 | Mar 14, 2012 | no | LIBERTYVILLE, IL | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 5, 2010 | Nov 15, 2011 | no | LISLE, IL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| B•••••• F•••••••• G••••• I••• | W••••••• F•••••••• S•••••••• I••• | Mar 14, 2012 | Feb 1, 2012 | -42 | Firm change after gap | Other |
| W••••••• F•••••••• S•••••••• I••• | B•••••• F•••••••• G••••• I••• | Nov 15, 2011 | Dec 5, 2011 | 20 | Firm change | Other |