DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 7, 2022 | n/a | yes | Scottsdale, AZ|Brookfield, WI|Waterford, WI | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Mar 1, 2019 | Oct 12, 2022 | no | BROOKFIELD, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 12, 2022 | Oct 7, 2022 | -5 | Firm change | Ibd to ibd |
| Q•••••• A•••• M••••••••• I••• | W••••••• F•••••••• S•••••••• I••• | Mar 1, 2019 | Mar 1, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 421:6363:WI:2022-10-12 | Oct 12, 2022 | Oct 7, 2022 | BROOKFIELD, WI | Firm change |
| Q•••••• A•••• M••••••••• I••• | Former SEC adviser | Nov 1, 2013 | Mar 1, 2019 | no | MINNEAPOLIS, MN|WAUKESHA, WI|BROOKFIELD, WI | Previous registration |
| L•••••• • C•••••• | Independent wealth | May 8, 2000 | Nov 6, 2013 | no | MILWAUKEE, WI|MILWAUKEE, WI | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| L•••••• • C•••••• | Q•••••• A•••• M••••••••• I••• | Nov 6, 2013 | Nov 1, 2013 | -5 | Firm change | Other |