DFX Intelligence
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Reading the graph
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Advisor at S•••••• P•••••••• L••
SCOTTSDALE, AZ | OMAHA, NE
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•••••• P•••••••• L•• | Independent wealth | Mar 25, 2020 | n/a | yes | SCOTTSDALE, AZ|OMAHA, NE | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Apr 13, 2018 | Mar 12, 2020 | no | SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | S•••••• P•••••••• L•• | Mar 12, 2020 | Mar 25, 2020 | 13 | Firm change | Ibd to RIA |
| C•••••••• F•••••••• G•••• A••••••• | S••••••••• A•••••• A•••••••• I••• | Apr 23, 2018 | Apr 13, 2018 |
| C•••••••• F•••••••• G•••• A••••••• | Former SEC adviser | Nov 2, 2012 | Apr 23, 2018 | no | SCOTTSDALE, AZ|MIDDLETOWN, CT|SCOTTSDALE, AZ|SCOTTSDALE, AZ|Scottsdale, AZ | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 12, 2011 | May 11, 2012 | no | SCOTTSDALE, AZ | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jan 21, 2009 | Aug 11, 2011 | no | PHOENIX, AZ | Previous registration |
| -10 |
| Firm change |
| Ibd to ibd |
| L•• F•••••••• L•• | C•••••••• F•••••••• G•••• A••••••• | May 11, 2012 | Nov 2, 2012 | 175 | Firm change | Other |
| U••• F•••••••• P••••••• S••••••• | L•• F•••••••• L•• | Aug 11, 2011 | Sep 12, 2011 | 32 | Firm change | Other |