DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••• F•••• A•••••••
SEATTLE, WA | TARPON SPRINGS, 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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Jul 22, 2026 | n/a | yes | TARPON SPRINGS, FL|SEATTLE, WA | Current employment |
| P•••••• P•••••• W••••• L•• | Independent wealth | Feb 26, 2025 | Mar 12, 2026 | no | BELLEVUE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• P•••••• W••••• L•• | W•••• F•••• A••••••• | Mar 12, 2026 | Jul 22, 2026 | 132 | Firm change | RIA to wirehouse |
| F••••••• P••••••• A•• W•••••••• A••••••• | P•••••• P•••••• W••••• L•• | Jan 9, 2025 | Feb 26, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 24, 2023 | Jan 9, 2025 | no | BELLEVUE, WA | Previous registration |
| C•••••• C••••••••• • A•••• M••••••••• | Independent wealth | Jan 3, 2023 | Mar 31, 2023 | no | LINCOLN, NE | Previous registration |
| S•• I••••••••• S••••••• I••• | Former SEC adviser | Jul 30, 2015 | Jan 4, 2021 | no | Seattle, WA|SAN FRANCISCO, CA|Seattle, WA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Dec 16, 2010 | Jul 27, 2015 | no | PALO ALTO, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 28, 2002 | May 18, 2010 | no | IRVINE, CA|IRVINE, CA|OMAHA, NE|BREA, CA|OMAHA, NE | Previous registration |
| 48 |
| Firm change |
| Ibd to RIA |
| C•••••• C••••••••• • A•••• M••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Mar 31, 2023 | Apr 24, 2023 | 24 | Firm change | RIA to ibd |
| S•• I••••••••• S••••••• I••• | C•••••• C••••••••• • A•••• M••••••••• | Jan 4, 2021 | Jan 3, 2023 | 729 | Firm change after gap | RIA to RIA |
| S•••••••• A••••••• L•• | S•• I••••••••• S••••••• I••• | Jul 27, 2015 | Jul 30, 2015 | 3 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | S•••••••• A••••••• L•• | May 18, 2010 | Dec 16, 2010 | 212 | Firm change | Ibd to ibd |