DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••• W••••• M••••••••• L•••
Scottsdale, AZ | BRIGHTON, MI
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 |
|---|---|---|---|---|---|---|
| F••••• W••••• M••••••••• L••• | Independent wealth | Oct 3, 2024 | n/a | yes | Scottsdale, AZ|BRIGHTON, MI | Current employment |
| M••••• S•••••• | Wirehouse | Jan 4, 2023 | Aug 14, 2023 | no | PURCHASE, NY|ROSEVILLE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | F••••• W••••• M••••••••• L••• | Aug 14, 2023 | Oct 3, 2024 | 416 | Firm change after gap | Wirehouse to RIA |
| E•••••• C•••••• M••••••••• L•• | M••••• S•••••• | Aug 14, 2023 | Jan 4, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 42159:149777:CA:2023-08-10 | Aug 14, 2023 | Jan 4, 2023 | ROSEVILLE, CA | Firm change after gap |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Dec 22, 2014 | Aug 14, 2023 | no | SCOTTSDALE, AZ|ARLINGTON, VA|Gilbert, AZ|ROSEVILLE, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Nov 3, 2011 | Dec 19, 2014 | no | Phoenix, AZ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 16, 2011 | Aug 11, 2011 | no | CHANDLER, AZ|NEW YORK, NY|CHANDLER, AZ | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Dec 11, 2008 | May 5, 2011 | no | PHOENIX, AZ | Previous registration |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Feb 26, 2008 | Dec 31, 2008 | no | PHOENIX, AZ | Previous registration |
| -222 |
| Channel change |
| RIA to wirehouse |
| C•••••• S••••• • C••• I••• | E•••••• C•••••• M••••••••• L•• | Dec 19, 2014 | Dec 22, 2014 | 3 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C•••••• S••••• • C••• I••• | Aug 11, 2011 | Nov 3, 2011 | 84 | Firm change | Wirehouse to ibd |
| U••• F•••••••• P••••••• S••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | May 5, 2011 | Jun 16, 2011 | 42 | Firm change | Other |
| U••• I••••••••• S••••••• C•••••• | U••• F•••••••• P••••••• S••••••• | Dec 31, 2008 | Dec 11, 2008 | -20 | Bulk transfer | Other |