DFX Intelligence
Reading the graph
Reading the graph
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Advisor at K••••• A••••••• S•••••••• L••
Seattle, WA | AUSTIN, TX
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 |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jun 7, 2023 | n/a | yes | Seattle, WA|AUSTIN, TX | Current employment |
| I•••••••• I••••••••• I••• | Former SEC adviser | Aug 14, 2007 | Jun 6, 2023 | no | VERONA (VR)|COLORADO SPRINGS, CO|Seattle, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I•••••••• I••••••••• I••• | K••••• A••••••• S•••••••• L•• | Jun 6, 2023 | Jun 7, 2023 | 1 | Firm change | RIA to ibd |
| C•••••• C•••••• M••••••••• G••••• I••• | I•••••••• I••••••••• I••• | Aug 15, 2007 | Aug 14, 2007 |
| C•••••• C•••••• M••••••••• G••••• I••• | Former SEC adviser | May 9, 2006 | Aug 15, 2007 | no | SAN DIEGO, CA | Previous registration |
| F•••• C•••••• F•••••••• P•••••••• I••• | Former SEC adviser | Sep 2, 2005 | May 4, 2006 | no | SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| F•••• C•••••• B••• | n/a | Jul 12, 2005 | Sep 2, 2005 | no | FORT WORTH, TX | Previous registration |
| -1 |
| Firm change |
| Other |
| F•••• C•••••• F•••••••• P•••••••• I••• | C•••••• C•••••• M••••••••• G••••• I••• | May 4, 2006 | May 9, 2006 | 5 | Firm change | Other |
| F•••• C•••••• B••• | F•••• C•••••• F•••••••• P•••••••• I••• | Sep 2, 2005 | Sep 2, 2005 | 0 | Firm change | Other |