DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••• W••••• M•••••••••
CINNCINNATI, 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 |
|---|---|---|---|---|---|---|
| D••••••• W••••• M••••••••• | Independent wealth | Jul 13, 2009 | n/a | yes | CINNCINNATI, OH | Current employment |
| I••••••••• W••••• M••••••••• L•• | n/a | Jan 16, 2007 | Jul 23, 2009 | no | CHICAGO, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• W••••• M••••••••• L•• | D••••••• W••••• M••••••••• | Jul 23, 2009 | Jul 13, 2009 | -10 | Firm change | Other |
| C••••• C•••••• A•••••••• L•• | I••••••••• W••••• M••••••••• L•• | Dec 31, 2006 | Jan 16, 2007 |
| C••••• C•••••• A•••••••• L•• | Former SEC adviser | Jun 6, 2005 | Dec 31, 2006 | no | CINCINNATI, OH | Previous registration |
| E•••• • Y•••• I••••••••• A••••••• L•• | No RAUM reported | Sep 21, 2000 | Jun 6, 2005 | no | CINCINNATI, OH | Previous registration |
| 16 |
| Firm change |
| Other |
| E•••• • Y•••• I••••••••• A••••••• L•• | C••••• C•••••• A•••••••• L•• | Jun 6, 2005 | Jun 6, 2005 | 0 | Firm change | Other |