DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• W••••• M••••••••• L••
WEXFORD, PA | MONROE, MI
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 |
|---|---|---|---|---|---|---|
| S•••••• W••••• M••••••••• L•• | Independent wealth | Dec 1, 2023 | n/a | yes | WEXFORD, PA|MONROE, MI | Current employment |
| B•••••• L••• A••••••• S•••••••• I••• | Bd affiliated wealth | Jul 28, 2016 | Nov 20, 2023 | no | Maumee, OH|CHICAGO, IL|Ann Arbor, MI|Ann Arbor, MI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B•••••• L••• A••••••• S•••••••• I••• | S•••••• W••••• M••••••••• L•• | Nov 20, 2023 | Dec 1, 2023 | 11 | Firm change | Ibd to RIA |
| C•••••••• F•••••••• G•••• A••••••• | B•••••• L••• A••••••• S•••••••• I••• | May 27, 2016 | Jul 28, 2016 |
| C•••••••• F•••••••• G•••• A••••••• | Former SEC adviser | Jun 16, 2010 | May 27, 2016 | no | TOLEDO, OH|Birmingham, AL|MAUMEE, OH|BIRMINGHAM, AL | Previous registration |
| E••••• J•••• | National bd RIA | Jun 13, 2008 | Dec 23, 2008 | no | ST LOUIS, MO|TOLEDO, OH | Previous registration |
| 62 |
| Bulk transfer |
| Other |
| E••••• J•••• | C•••••••• F•••••••• G•••• A••••••• | Dec 23, 2008 | Jun 16, 2010 | 540 | Firm change after gap | Other |