DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at N•••• F••••• W•••••
CLEARWATER, 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 |
|---|---|---|---|---|---|---|
| N•••• F••••• W••••• | Independent wealth | Aug 5, 2026 | n/a | yes | CLEARWATER, FL | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | May 28, 2020 | Aug 14, 2026 | no | Temple Terrace, FL|Saint Petersburg, FL|Westlake, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | N•••• F••••• W••••• | Aug 14, 2026 | Aug 5, 2026 | -9 | Firm change | Ibd to RIA |
| U••• I••••••••• S••••••• C•••••• | C•••••• S••••• • C••• I••• | May 24, 2020 | May 28, 2020 |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jul 14, 2016 | Jan 8, 2018 | no | Tampa, FL|Tampa, FL | Previous registration |
| E••••• J•••• | National bd RIA | Sep 25, 2015 | Feb 3, 2016 | no | PRATTVILLE, AL|MONTGOMERY, AL|ST LOUIS, MO|MONTGOMERY, AL | Previous registration |
| 4 |
| Bulk transfer |
| Ibd to ibd |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 | 0 | Bulk transfer | Other |
| E••••• J•••• | U••• F•••••••• P••••••• S••••••• | Feb 3, 2016 | Jul 14, 2016 | 162 | Firm change | Other |