DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• A••••••• P•••••••• L••
SPOKANE, WA
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 |
|---|---|---|---|---|---|---|
| C••••••• A••••••• P•••••••• L•• | Independent wealth | Nov 27, 2024 | n/a | yes | SPOKANE, WA | Current employment |
| C••••••• A••••••• P•••••••• L•• | Independent wealth | Jun 17, 2014 | May 13, 2022 | no | SPOKANE, WA|Dallas, TX|Southlake, TX|Houston, TX|Bellingham, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•• F•••••••• G•••• L•• | C••••••• A••••••• P•••••••• L•• | May 2, 2016 | Jun 17, 2014 | -685 | Firm change after gap | Other |
| T•• C•••••• W••••• A•••••••• L•• | C•• F•••••••• G•••• L•• | Jul 22, 2013 | Jun 24, 2013 |
| C•• F•••••••• G•••• L•• | n/a | Jun 24, 2013 | May 2, 2016 | no | SPOKANE, WA | Previous registration |
| T•• C•••••• W••••• A•••••••• L•• | Former SEC adviser | Jan 20, 2012 | Jul 22, 2013 | no | SPOKANE, WA | Previous registration |
| C••• I••••••••• S••••••••• L•• | n/a | Oct 12, 2010 | Jul 25, 2011 | no | SPOKANE, WA | Previous registration |
| F••• | Former SEC adviser | Oct 21, 2008 | Jan 23, 2012 | no | SPOKANE, WA|BOCA RATON, FL|SPOKANE, WA | Previous registration |
| L••••• F•••••••• C••• | n/a | May 10, 2005 | Dec 31, 2008 | no | SPOKANE, WA | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Sep 14, 2004 | May 13, 2005 | no | SPOKANE, WA | Previous registration |
| -28 |
| Firm change |
| Other |
| F••• | C••• I••••••••• S••••••••• L•• | Jan 23, 2012 | Oct 12, 2010 | -468 | Firm change after gap | Other |
| C••• I••••••••• S••••••••• L•• | T•• C•••••• W••••• A•••••••• L•• | Jul 25, 2011 | Jan 20, 2012 | 179 | Firm change | Other |
| L••••• F•••••••• C••• | F••• | Dec 31, 2008 | Oct 21, 2008 | -71 | Firm change after gap | Other |
| S••••••• F•••••••• S•••••••• I••• | L••••• F•••••••• C••• | May 13, 2005 | May 10, 2005 | -3 | Firm change | Other |