DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• C•••••• M••••••••• C•••
Rio Rancho, NM | FT WAYNE, IN
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 |
|---|---|---|---|---|---|---|
| A•••• C•••••• M••••••••• C••• | Independent wealth | Oct 11, 2019 | n/a | yes | FT WAYNE, IN|Rio Rancho, NM | Current employment |
| H••••• I••••••••• M••••••••• L•• | Independent wealth | Sep 29, 2014 | Oct 11, 2019 | no | RIO RANCHO, NM|RIO RANCHO, NM|CINCINNATI, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H••••• I••••••••• M••••••••• L•• | A•••• C•••••• M••••••••• C••• | Oct 11, 2019 | Oct 11, 2019 | 0 | Firm change | RIA to RIA |
| M••••••••• I••••••••• S•••••••• I••• | H••••• I••••••••• M••••••••• L•• | Sep 17, 2014 | Sep 29, 2014 |
| M••••••••• I••••••••• S•••••••• I••• | Former SEC adviser | Jun 3, 2009 | Sep 17, 2014 | no | RIO RANCHO, NM|NEOSHO, MO | Previous registration |
| I••••••• S••••••••• I••• | n/a | Oct 3, 2007 | Feb 20, 2008 | no | SALT LAKE CITY, UT|SALT LAKE CITY, UT|SALT LAKE CITY, UT|LA GRANDE, OR | Previous registration |
| A•••••• A•••••••• I••• | n/a | Aug 14, 2007 | Oct 3, 2007 | no | SALT LAKE CITY, UT | Previous registration |
| 12 |
| Firm change |
| Other |
| I••••••• S••••••••• I••• | M••••••••• I••••••••• S•••••••• I••• | Feb 20, 2008 | Jun 3, 2009 | 469 | Firm change after gap | Other |
| A•••••• A•••••••• I••• | I••••••• S••••••••• I••• | Oct 3, 2007 | Oct 3, 2007 | 0 | Firm change | Other |