DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• G••••
SCOTTSDALE, AZ | COLORADO SPRINGS, CO
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 |
|---|---|---|---|---|---|---|
| S••••• W••••• G•••• | Independent wealth | Apr 16, 2025 | n/a | yes | SCOTTSDALE, AZ|COLORADO SPRINGS, CO | Current employment |
| C••••••••• F•••••••• N•••••• | National bd RIA | Oct 2, 2024 | May 1, 2025 | no | Scottsdale, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | S••••• W••••• G•••• | May 1, 2025 | Apr 16, 2025 | -15 | Bulk transfer | Ibd to new firm |
| T• A••••••••• I••••••••• M••••••••• L•• | C••••••••• F•••••••• N•••••• | Oct 22, 2012 | Oct 2, 2024 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | May 21, 2010 | Oct 22, 2012 | no | OMAHA, NE|GREENWOOD VILLAGE, CO | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | May 21, 2010 | Oct 22, 2012 | no | Omaha, NE|Denver, CO | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Sep 19, 2007 | Mar 31, 2008 | no | LAKEWOOD, CO | Previous registration |
| 4,363 |
| Firm change after gap |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 22, 2012 | May 21, 2010 | -885 | Channel change | Other |
| E•••••••• A•••••••• L•• | T• A••••••••• I••• | Mar 31, 2008 | May 21, 2010 | 781 | Firm change after gap | Ibd to new firm |