DFX Intelligence
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Reading the graph
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Advisor at 3•••• A•••• M••••••••• L•
Louisville, KY | NAPLES, FL
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 |
|---|---|---|---|---|---|---|
| 3•••• A•••• M••••••••• L• | Independent wealth | Mar 25, 2016 | n/a | yes | Louisville, KY|NAPLES, FL | Current employment |
| R•••• C••••••• L•• | Former SEC adviser | Sep 23, 2013 | Dec 9, 2016 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••• C••••••• L•• | 3•••• A•••• M••••••••• L• | Dec 9, 2016 | Mar 25, 2016 | -259 | Firm change after gap | Other |
| W•••••••• I••••••••• M••••••••• I••• | R•••• C••••••• L•• | Aug 13, 2013 | Sep 23, 2013 |
| W•••••••• I••••••••• M••••••••• I••• | Former SEC adviser | Nov 10, 2010 | Aug 13, 2013 | no | BOSTON, MA | Previous registration |
| W••••••• I••••••••• M••••••••• I•• | n/a | Sep 8, 2009 | Nov 18, 2010 | no | BOSTON, MA | Previous registration |
| 41 |
| Firm change |
| Other |
| W••••••• I••••••••• M••••••••• I•• | W•••••••• I••••••••• M••••••••• I••• | Nov 18, 2010 | Nov 10, 2010 | -8 | Firm change | Other |