DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
Cincinnati, OH | FOLSOM, CA
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••••••••• L••• | Bd affiliated wealth | May 19, 2022 | n/a | yes | FOLSOM, CA|Cincinnati, OH | Current employment |
| L••••••••• F•••••••• C••••••• I••• | n/a | Nov 27, 2018 | May 6, 2022 | no | LEBANON, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L••••••••• F•••••••• C••••••• I••• | A••••••• F••••••••• L••• | May 6, 2022 | May 19, 2022 | 13 | Firm change | Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | L••••••••• F•••••••• C••••••• I••• | Dec 8, 2014 | Nov 27, 2018 |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Jun 7, 2012 | Dec 8, 2014 | no | DAYTON, OH | Previous registration |
| C••••••••• A•••••••• I•• | Former SEC adviser | Sep 19, 2007 | May 31, 2012 | no | C•••••••••, OH|C•••••••••, OH | Previous registration |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Jun 10, 2005 | Aug 31, 2007 | no | SPRINGFIELD, OH|DAYTON, OH|Dayton, OH | Previous registration |
| 1,450 |
| Firm change after gap |
| Other |
| C••••••••• A•••••••• I•• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | May 31, 2012 | Jun 7, 2012 | 7 | Firm change | Other |
| N••••••••• M••••• I••••••••• S••••••••• | C••••••••• A•••••••• I•• | Aug 31, 2007 | Sep 19, 2007 | 19 | Firm change | Other |