DFX Intelligence
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Reading the graph
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Advisor at V•••••• A•••••••• L••
CHICAGO, IL | Dallas, TX
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 |
|---|---|---|---|---|---|---|
| V•••••• A•••••••• L•• | Independent wealth | May 29, 2025 | n/a | yes | Dallas, TX|CHICAGO, IL | Current employment |
| O•••••• I••••••••• A•••••••• L•• | Former SEC adviser | Jun 17, 2014 | Sep 30, 2025 | no | CHICAGO, IL|Dallas, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••••• I••••••••• A•••••••• L•• | V•••••• A•••••••• L•• | Sep 30, 2025 | May 29, 2025 | -124 | Firm change after gap | RIA to RIA |
| W•••• F•••• A••••••• | O•••••• I••••••••• A•••••••• L•• | Jun 18, 2012 | Jun 17, 2014 |
| W•••• F•••• A••••••• | Wirehouse | Oct 16, 2009 | Jun 18, 2012 | no | NANCY, KY|LEXINGTON, KY|CHICAGO, IL | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Apr 19, 2001 | Oct 27, 2009 | no | LEXINGTON, KY|WEEHAWKEN, NJ|CHICAGO, IL|CHICAGO, IL | Previous registration |
| 729 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | W•••• F•••• A••••••• | Oct 27, 2009 | Oct 16, 2009 | -11 | Firm change | Wirehouse to wirehouse |