DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
BROOKFIELD, WI
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Nov 2, 2018 | n/a | yes | BROOKFIELD, WI | Current employment |
| S••••••• I••••••••• I••• | Former SEC adviser | Dec 8, 2017 | Nov 2, 2018 | no | BROOKFIELD, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• I••••••••• I••• | O•••• W•••••• I••• | Nov 2, 2018 | Nov 2, 2018 | 0 | Bulk transfer | Ibd to ibd |
| M•• I•••••••• S•••••••• L•• | S••••••• I••••••••• I••• | Dec 13, 2017 | Dec 8, 2017 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Dec 13, 2017 | no | Wauwatosa, WI | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 6, 2015 | Mar 25, 2017 | no | CEDARBURG, WI|MILWAUKEE, WI|Milwaukee, WI | Previous registration |
| M•••••• P••••••••• P•••••••• L••• | Independent wealth | Apr 15, 2004 | Jan 22, 2015 | no | CEDARBURG, WI|MILWAUKEE, WI|WAUSAU, WI|CEDARBURG, WI|CEDARBURG, WI|WAUKESHA, WI | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Mar 7, 2001 | Jun 7, 2011 | no | MILWAUKEE, WI|CEDARBURG, WI|MILWAUKEE, WI | Previous registration |
| -5 |
| Firm change |
| Other |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| M•••••• P••••••••• P•••••••• L••• | M•• F•••••••• S•••••••• I••• | Jan 22, 2015 | Jan 6, 2015 | -16 | Firm change | Other |
| E•••••••• A•••••••• L•• | M•••••• P••••••••• P•••••••• L••• | Jun 7, 2011 | Apr 15, 2004 | -2,609 | Firm change after gap | Other |