DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H•••••••• P••••••• P•••••••
DOWNERS GROVE, IL | Batavia, 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 |
|---|---|---|---|---|---|---|
| H•••••••• P••••••• P••••••• | Independent wealth | Nov 2, 2021 | n/a | yes | Batavia, IL|DOWNERS GROVE, IL | Current employment |
| H•••••••• A•••••• G••••• L•• | Former SEC adviser | Sep 18, 2012 | Dec 31, 2021 | no | DOWNERS GROVE, IL|Batavia, IL|DOWNERS GROVE, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••••• A•••••• G••••• L•• | H•••••••• P••••••• P••••••• | Dec 31, 2021 | Nov 2, 2021 | -59 | Bulk transfer | RIA to new firm |
| C•••• I••••••••• S••••••• C•••• | H•••••••• A•••••• G••••• L•• | Sep 10, 2012 | Sep 18, 2012 |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jul 6, 2005 | Sep 10, 2012 | no | CHICAGO, IL|OAK BROOK, IL | Previous registration |
| B••• O•• S••••••••• C••••••••• | n/a | May 14, 2003 | Jul 6, 2005 | no | OAK BROOK, IL | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Oct 28, 1998 | May 15, 2003 | no | WESTMONT, IL | Previous registration |
| 8 |
| Firm change |
| Other |
| B••• O•• S••••••••• C••••••••• | C•••• I••••••••• S••••••• C•••• | Jul 6, 2005 | Jul 6, 2005 | 0 | Bulk transfer | Other |
| M•••••• I••••••••• F••• S••••••• L•• | B••• O•• S••••••••• C••••••••• | May 15, 2003 | May 14, 2003 | -1 | Firm change | Other |