DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
FOLSOM, CA | Phoenix, AZ
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••••••• F••••••••• L••• | Bd affiliated wealth | Nov 2, 2021 | n/a | yes | FOLSOM, CA|Phoenix, AZ | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Nov 12, 2020 | Jan 4, 2021 | no | SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R• C•••••• | C••••• I••••••••• A••••••• L•• | Nov 19, 2021 | Nov 12, 2020 | -372 | Firm change after gap | RIA to ibd |
| C••••• I••••••••• A••••••• L•• | A••••••• F••••••••• L••• | Jan 4, 2021 | Nov 2, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 135696:137888:AZ:2015-10-30 | Oct 30, 2015 | Apr 22, 2015 | PHOENIX, AZ | Firm change after gap |
| R• C•••••• | Former SEC adviser | Jul 9, 2015 | Nov 19, 2021 | no | SCOTTSDALE, AZ|PHOENIX, AZ | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Apr 22, 2015 | Nov 12, 2020 | no | PHOENIX, AZ|SAN DIEGO, CA|Scottsdale, AZ | Previous registration |
| R• A•••••• G•••• | Former SEC adviser | Apr 17, 2015 | Oct 30, 2015 | no | PHOENIX, AZ | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Mar 27, 2015 | Apr 27, 2015 | no | SCOTTSDALE, AZ | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jun 12, 2014 | Apr 20, 2015 | no | SCOTTSDALE, AZ | Previous registration |
| R• A•••••• G•••• | Former SEC adviser | Jul 1, 2011 | Mar 31, 2015 | no | PHOENIX, AZ | Previous registration |
| 302 |
| Firm change |
| Ibd to RIA |
| F•••• A••••• A••••••• S•••••••• I••• | R• C•••••• | Nov 12, 2020 | Jul 9, 2015 | -1,953 | Firm change after gap | Ibd to RIA |
| R• A•••••• G•••• | F•••• A••••• A••••••• S•••••••• I••• | Oct 30, 2015 | Apr 22, 2015 | -191 | Firm change after gap | Other |
| R•••••• J•••• • A••••••••• I••• | R• A•••••• G•••• | Apr 27, 2015 | Apr 17, 2015 | -10 | Firm change | Other |
| F•••• A••••• A••••••• S•••••••• I••• | R•••••• J•••• • A••••••••• I••• | Apr 20, 2015 | Mar 27, 2015 | -24 | Firm change | Other |
| R• A•••••• G•••• | F•••• A••••• A••••••• S•••••••• I••• | Mar 31, 2015 | Jun 12, 2014 | -292 | Firm change after gap | Other |