DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• W••••• M•••••••••
Seattle, 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 |
|---|---|---|---|---|---|---|
| A•••• W••••• M••••••••• | Independent wealth | Jan 3, 2017 | n/a | yes | Seattle, WA | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Nov 12, 2020 | Oct 13, 2023 | no | SCOTTSDALE, AZ|SEATTLE, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | n/a | Oct 13, 2023 | n/a | n/a | Departure no registered destination | Departure |
| F•••• A••••• A••••••• S•••••••• I••• | A•••• W••••• M••••••••• | Nov 12, 2020 | Jan 8, 2013 | -2,865 |
| A•••• W••••• M••••••••• | Independent wealth | Jan 8, 2013 | Dec 31, 2016 | no | BELLEVUE, WA | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jul 2, 2012 | Nov 12, 2020 | no | CHESTERFIELD, MO|SILVERDALE, WA|Seattle, WA|Scottsdale, AZ | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Aug 12, 2011 | Jul 2, 2012 | no | SEATTLE, WA|SILVERDALE, WA|Scottsdale, AZ | Previous registration |
| P•••••• N•••••••• A•••• M••••••••• I••• | n/a | Nov 28, 2005 | Oct 4, 2011 | no | SILVERDALE, WA | Previous registration |
| F•••• M•••••• S••••••••• C•••• | n/a | Nov 3, 2005 | Oct 17, 2008 | no | SILVERDALE, WA|RED BANK, NJ|SILVERDALE, WA | Previous registration |
| Firm change after gap |
| Other |
| F•••• A••••• S••••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |
| P•••••• N•••••••• A•••• M••••••••• I••• | F•••• A••••• S••••••••• I••• | Oct 4, 2011 | Aug 12, 2011 | -53 | Firm change after gap | Other |
| F•••• M•••••• S••••••••• C•••• | P•••••• N•••••••• A•••• M••••••••• I••• | Oct 17, 2008 | Nov 28, 2005 | -1,054 | Firm change after gap | Other |